Lorraine A. Devito
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lorraine Ann Devito was a registered financial professional .
Lorraine is a previously registered financial professional and started their career in finance in 1986. Lorraine had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2023 - October 17, 2024
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
March 10, 2014 - May 23, 2022
MORGAN STANLEY
February 28, 2014 - May 23, 2022
MORGAN STANLEY
October 23, 2009 - February 21, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - February 21, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 16, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 27, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 27, 2003 - September 2, 2004
ADVEST, INC.
October 21, 1999 - September 26, 2003
R. LEWIS SECURITIES, INC.
February 5, 1992 - March 10, 1992
SAMUEL A. RAMIREZ & COMPANY, INC.
July 25, 1990 - December 12, 1991
A.S. GOLDMEN & CO., INC.
March 25, 1988 - July 23, 1988
THOMSON MCKINNON SECURITIES INC.
April 9, 1986 - July 29, 1988
STEINBERG & LYMAN
February 28, 1986 - April 7, 1986
CITICORP SECURITIES SERVICES, INC.
Primary Firm SEC Registration
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
CRD#: 116407 / SEC#: 801-60749
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
CRD#: 116407 / SEC#: 801-60749
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 186,400 |
| AUM (Assets Under Management) | $ 94,632,028,506 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/20/2024 | ||
| 03/05/2024 | ||
| 09/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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