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John Andrew Patterson

John A. Patterson

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CRD#: 1588308
John Andrew Patterson

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.

John Andrew Patterson, CFP® was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1986. John had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Biography

John joined Wealth Enhancement Group in 2021 with over thirty years of experience helping clients manage their financial affairs. John specializes in retirement planning and asset management for the corporate employee and business owner and has conducted numerous financial planning workshops for employees of Fortune 500 companies. He has been quoted in The New York Times, and other business publications, and has appeared several times on television news to discuss financial planning issues. Carroll Financial has been acquired by Wealth Enhancement Group.
top-8-questions

Question & Answer

What are your service offerings?
Trading individual securities
Trust & estate planning
Financial planning
Philanthropic services
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
No

Aliases

None

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. 11/30/2021 - WEALTH ENHANCEMENT GROUP - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 12/16/2021 - WEALTH ENHANCEMENT ADVISORY SERVICES LLC - DBA: (Hybrid) Wealth Enhancement Advisory Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 11/1/21 - 160 Hours Per Month/160 Hours During Securities Trading - Time Spent 30% - I provide investment advisory services through Wealth Enhancement Advisory Services, an independent investment advisor firm. I started this business activity in 11/2021. 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 services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

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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: 1990

Experience

Past

January 20, 2022 - December 31, 2024

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

BD
CRD#: 130139
PLYMOUTH, MN
Past

December 1, 2021 - December 31, 2024

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA
CRD#: 116407
Charlotte, NC
Past

November 30, 2021 - January 9, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

December 31, 2001 - December 8, 2021

CARROLL FINANCIAL ASSOCIATES INC

RIA
CRD#: 105427
CHARLOTTE, NC
Past

July 18, 1994 - December 2, 2021

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
CHARLOTTE, NC
Past

November 21, 1986 - July 18, 1994

KEOGLER, MORGAN & COMPANY, INC.

BD
CRD#: 16546
ATLANTA, GA

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
RR
Series 63
Date: 12/3/1986
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 7
Date: 11/15/1986
General Securities Representative 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

Senior Vice President, Financial Advisor at Wealth Enhancement GroupCRD#: 130139

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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