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DB

Donald E. Brown

Some features on this profile are disabled
CRD#: 1380141
DB

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.

Donald Eugene Brown, CFP®, who also goes by Don Brown, was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 1985. Donald had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

What are your service offerings?
Divorce Planning
Retirement Planning
Long-term Care
Investment Planning
Education Planning
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Insurance Planning
Are you a "fiduciary"?
No

Aliases

Don Brown

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1- 08/2023 / BLUE ROCK WEALTH MANAGEMENT / Non-Variable Insurance / Investment Related / WINSTON-SALEM NC / Start date 08/07/2023 - 160 Hrs per month 2- 08/2023 / WEALTH ENHANCEMENT GROUP / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) 3- 10/17/2023 - WEALTH ENHANCEMENTADVISORY SERVICES - Registered Investment Advisor Hybrid - Advisor - Investment Related - At Reported Business Location(s) - Start Date 8/7/20223 - 160 Hours Per Month/ 8 Hours During Trading - I provide investment advisory services through WEALTH ENHANCEMENTADVISORY SERVICES, an independent investment advisor firm. I started this business activity in 10/16/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2004

Experience

Past

August 31, 2023 - July 1, 2025

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

BD
CRD#: 130139
WINSTON-SALEM, NC
Past

August 25, 2023 - July 1, 2025

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA
CRD#: 116407
WINSTON-SALEM, NC
Past

August 17, 2023 - June 30, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
WINSTON-SALEM, NC
Past

September 16, 2008 - September 5, 2023

THREE MAGNOLIAS FINANCIAL ADVISORS

RIA
CRD#: 114471
WINSTON SALEM, NC
Past

July 22, 2008 - August 16, 2023

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
WINSTON-SALEM, NC
Past

February 9, 2001 - July 17, 2008

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
WINSTON-SALEM, NC
Past

February 9, 1990 - July 17, 2008

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
WINSTON-SALEM, NC
Past

November 21, 1988 - February 14, 1990

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

July 24, 1985 - November 25, 1988

THE ROBINSON-HUMPHREY COMPANY, LLC

BD
CRD#: 723

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/14/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/26/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/3/1985
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 7/20/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/11/1994
General Securities Principal Examination

Current Firm

WE
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
WEALTH ENHANCEMENT | WEALTH ENHANCEMENT GROUP, LLC | WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

CRD#: 130139 / SEC#: , 8-66305

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
505 N Highway 169 Suite 900, Plymouth, MN 55441
Mailing Address
505 N Highway 169 Suite 900, Plymouth, MN 55441
Phone number
(763) 417-1700
Established
Minnesota since 06/02/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
WEALTH ENHANCEMENT GROUP, LLCOWNER
CAHN, JAMES LORENVICE PRESIDENT6052512
CAIN, STEPHANIE MHEAD OF SUPERVISION4081085
CLARK, LISA LYNNOPERATIONS OFFICER2271616
DEKKO, JEFFREY THOMAS HAROLDVICE PRESIDENT4648018
DIECKHAUS, JOSEPH ALANCHIEF COMPLIANCE OFFICER5374613
FURCHT, ELIZABETH ANNSECRETARY5778785
WINDORSKI, KELLY JOSEPHCHIEF MANAGER AND CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, TREASURER, AND FINANCIAL OPERATIONS PRINCIPAL3211118

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

CRD#: 130139

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