Matthew H. Geller
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.
Matthew Henry Geller, CFP®, who also goes by Matthew Henry Geller, Matt Geller, Matthew Geller, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1990. Matthew had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 42, Series 62, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2020 - May 1, 2023
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
October 7, 2002 - April 14, 2005
WILLIAMS BENATOR & LIBBY FINANCIAL SERVICES, LLC
September 12, 2000 - December 6, 2011
GV FINANCIAL ADVISORS, INC.
April 30, 1997 - April 30, 2020
JOYN ADVISORS, INC.
February 6, 1991 - April 30, 2020
SECURIAN FINANCIAL SERVICES, INC.
September 14, 1990 - February 14, 1991
GUARDIAN INVESTOR SERVICES LLC
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
Series 42
Date: 10/13/2006
Registered Options Representative ExaminationSeries 62
Date: 4/18/1995
Corporate Securities Limited Representative ExaminationCurrent 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
