Stefan P. Weiser
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.
Stefan Peter Weiser was a registered financial professional .
Stefan is a previously registered financial professional and started their career in finance in 2006. Stefan had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2022 - November 6, 2023
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
August 4, 2022 - November 6, 2023
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
September 8, 2009 - September 16, 2022
LPL FINANCIAL LLC
September 8, 2009 - December 18, 2023
LPL FINANCIAL LLC
January 14, 2009 - September 8, 2009
ASSOCIATED SECURITIES CORP.
January 14, 2009 - September 8, 2009
ASSOCIATED SECURITIES CORP.
October 16, 2007 - July 31, 2008
CITIGROUP GLOBAL MARKETS INC.
September 19, 2007 - July 31, 2008
CITIGROUP GLOBAL MARKETS INC.
March 2, 2006 - February 22, 2008
AK CAPITAL, LLC
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 BROKERAGE SERVICES, LLC
CRD#: 130139 / SEC#: , 8-66305
Contact information
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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