Nicholas Spagnoletti
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.
Nicholas Spagnoletti, who also goes by Nicholas Spagnoletti Jr, Nicholas Spagnoletti, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1990. Nicholas had worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2021 - August 23, 2021
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
July 2, 2021 - August 23, 2021
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
July 1, 2021 - August 23, 2021
LPL FINANCIAL LLC
January 19, 2018 - June 30, 2021
MUTUAL SECURITIES, INC.
September 6, 2013 - February 1, 2016
LPL FINANCIAL LLC
November 8, 2012 - January 19, 2018
LPL FINANCIAL LLC
November 12, 2004 - July 14, 2021
MACRO CONSULTING GROUP
March 10, 2004 - November 13, 2012
SII INVESTMENTS, INC.
March 1, 2004 - November 13, 2012
SII INVESTMENTS, INC.
August 15, 2000 - March 31, 2004
APW CAPITAL, INC.
January 27, 1999 - August 22, 2000
CINCINNATI ANALYSTS, INC.
August 15, 1994 - January 27, 1999
1717 CAPITAL MANAGEMENT COMPANY
October 5, 1990 - April 2, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 5, 1990 - April 2, 1992
PRUCO SECURITIES, 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
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