William l. Trahan
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CRD#: 1473645
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.
William leo Trahan, CFP®, who also goes by Bill Trahan, William L Trahan, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Biography
Bill has a special interest in retirement income planning and has over thirty years of experience advising clients. His focus on asset allocation, research and investment planning allows him to take an individual approach to each client’s needs and goals. Prior to his position at Wealth Enhancement Group, Bill was a founding principal and served as Director of Investment Planning and Research for TriCapital Financial Group, Inc., and previously held various executive positions with large financial service organizations.
Bill is a past President of the North Carolina Financial Planning Association and is involved in professional community organizations. He has also served on the Appalachian State University (ASU) Alumni Corporate Committee, the ASU McKinney Alumni Center and the ASU 21st Century Committee. He is "5 Star Wealth Manager (2018-2022)" award recipient* as well as a former member of the Board of Directors of Carmel Country Club and was Chairman of Junior Golf there for many years.
Bill is the proud father of twin sons, a daughter, four stepsons, daughter-in-laws, and five grandchildren.
*Award criteria based on 10 objective criteria associated with providing quality services to clients such as credentials, experience and assets under management among other factors. Wealth managers do not pay a fee to be considered or placed on the final list of 2018, 2019, 2020, 2021, or 2022 FIVE STAR Wealth Managers. Awarded 8/01/18 for the period of 11/22/17 - 5/25/18. Awarded 8/01/19 for the period of 10/22/18 - 5/24/19. Awarded 8/01/20 for the period of 10/28/19 - 5/08/20. Awarded 8/01/21 for the period of 10/05/20 - 4/30/21. Awarded 8/01/22 for the period of 10/11/21 - 4/22/22.
Question & Answer
What are your service offerings?
Education Planning
Retirement Planning
Comprehensive Financial Planni...
Investment Planning
Insurance Planning
Estate Planning
What is your minimum asset requirement?
1
Are you a "fiduciary"?
No
Aliases
Bill Trahan | William L Trahan
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. 01/01/1998 - REAL ESTATE RENTAL/ REAL ESTATE RENTAL/ INVESTMENT RELATED/ 0%/ 623 NEW HOPE RD UNIT 6, GASTONIA, NC 28054 2. 01/01/1986 - WILLIAM TRAHAN/ NON-VARIABLE INSURANCE/ INVESTMENT RELATED/ 1%/ CHARLOTTE, NC 3. 09/01/2017 - LIFE SHARE OF THE CAROLINAS/ NON-PROFIT BOARD MEMBER/ NOT INVESTMENT RELATED/ 2%/ CHARLOTTE, NC 4. 01/01/1994 - TRICAPITAL CORPORATION/ BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY/ INVESTMENT RELATED/ 2%/ CHARLOTTE, NC 5. 12/16/2021 - WEALTH ENHANCEMENT ADVISORY SERVICES LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Stared 11/1/2021 - 150 Hours Per Month/40 Hours During Securities Trading - 150 Hours Per Month/40 Hours During Securities Trading - Time Spent 94% - I provide investment advisory services through Wealth Enhancement Advisory Services, LLC, an independent investment advisor firm. I started this business activity in 12/2021. I expect to spend approximately 150 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 services at http://www.advisorinfo.sec.gov/IAPD.
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®
Start date: 1990
Experience
Past
January 20, 2022 - October 2, 2025
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
BD
CRD#: 130139
CHARLOTTE, NC
Past
December 1, 2021 - October 2, 2025
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
RIA
CRD#: 116407
CHARLOTTE, NC
Past
November 30, 2021 - June 30, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
CHARLOTTE, NC
Past
January 7, 2005 - December 8, 2021
CARROLL FINANCIAL ASSOCIATES INC
RIA
CRD#: 105427
CHARLOTTE, NC
Past
February 3, 2003 - December 31, 2004
TRICAPITAL WEALTH MANAGEMENT, INC.
RIA
CRD#: 118788
CHARLOTTE, NC
Past
February 24, 2000 - December 31, 2002
TRICAPITAL WEALTH MANAGEMENT, INC.
RIA
CRD#: 118788
CHARLOTTE, NC
Past
July 16, 1999 - December 2, 2021
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
CHARLOTTE, NC
Past
May 3, 1999 - July 16, 1999
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
April 14, 1989 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
April 25, 1986 - March 22, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
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
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEALTH ENHANCEMENT GROUP, LLC | OWNER | |
| CAHN, JAMES LOREN | VICE PRESIDENT | 6052512 |
| CAIN, STEPHANIE M | HEAD OF SUPERVISION | 4081085 |
| CLARK, LISA LYNN | OPERATIONS OFFICER | 2271616 |
| DEKKO, JEFFREY THOMAS HAROLD | VICE PRESIDENT | 4648018 |
| DIECKHAUS, JOSEPH ALAN | CHIEF COMPLIANCE OFFICER | 5374613 |
| FURCHT, ELIZABETH ANN | SECRETARY | 5778785 |
| WINDORSKI, KELLY JOSEPH | CHIEF MANAGER AND CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, TREASURER, AND FINANCIAL OPERATIONS PRINCIPAL | 3211118 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
Senior Vice President, Financial AdvisorCRD#: 130139TRUST BUT VERIFY
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