ELIZABETH A. HANSEN
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CRD#: 2199658
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.
ELIZABETH ANN HANSEN, who also goes by Beth Ann Hansen, Beth Ann Hashman, Elizabeth A Hashman, Elizabeth Ann Hashman, was a registered financial professional .
ELIZABETH is a previously registered financial professional and started their career in finance in 1996. ELIZABETH had worked at 11 firms and has passed the Series 63, Series 79TO, Series 6TO, Series 57TO, SIE, Series 55, Series 7, Series 6 and Series 24 exams.
Biography
Prior to joining Wealth Enhancement Group in 2022, Beth was the Chief Compliance Officer for Waddell & Reed since 2018. Previously, she served as the Chief Compliance Officer for the Investment Advisor and Brokerage legal entities at Ameriprise Financial, held senior-level roles within ABN AMRO’s compliance functions, and was a FINRA regulatory examiner early in her professional career. She is an active participant in many industry organizations. Beth’s tremendous experience and leadership skills will enable Wealth Enhancement Group to further strengthen its compliance program as it continues to execute the company’s growth strategy.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Beth Ann Hansen | Beth Ann Hashman | Elizabeth A Hashman | Elizabeth Ann Hashman
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) 1/2022- WEALTH ENHANCEMENT GROUP- DBA for LPL Business (entity for LPL business)- inv. related- OLATHE, KS 2) 04/07/2022- WEALTH ENHANCEMENT ADVISORY SERVICES LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Financial Advisor - Start Date - 01-17-2022 - 160 Hours Per Month - Time Spent 100% - I provide investment advisory services through WEALTH ENHANCEMENT ADVISORY SERVICES LLC, an independent investment advisor firm. I started this business activity in 4/2022. 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. 3) 11/14/2022 - NorthCrest Asset Management LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - CCO - Start Date - 01/28/2022 - 1 Hours Per Month/0 Hours During Securities Trading - I provide investment advisory services through NorthCrest Asset Management, an independent investment advisor firm. I started this business activity in 11/2022. I expect to spend approximately 1 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. 4) 2/10/2023 - Wealth Enhancement Brokerage Services LLC - Investment Related - 505 N Hwy 169; suite 900; Plymouth MN 55441 - Other - Limited Purpose Broker-Dealer - Chief Compliance Officer - Start Date - 01/17/2022 - 1 Hours Per Month/0 Hours During Securities Trading
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®
NoneExperience
Past
March 7, 2022 - May 2, 2024
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
RIA
CRD#: 116407
OLATHE, KS
Past
January 25, 2022 - May 2, 2024
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
BD
CRD#: 130139
PLYMOUTH, MN
Past
January 18, 2022 - November 16, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
OLATHE, KS
Past
April 10, 2018 - April 30, 2021
IVY DISTRIBUTORS, INC.
BD
CRD#: 16496
OVERLAND PARK, KS
Past
April 10, 2018 - December 17, 2021
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
Past
December 21, 2010 - April 2, 2018
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
BD
CRD#: 26506
Minneapolis, MN
Past
March 3, 2009 - December 20, 2010
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
BD
CRD#: 26506
MINNEAPOLIS, MN
Past
March 23, 2007 - June 13, 2007
SECURITIES AMERICA, INC.
BD
CRD#: 10205
OMAHA, NE
Past
March 16, 2007 - April 2, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Minneapolis, MN
Past
November 9, 2000 - February 7, 2001
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
November 9, 2000 - March 16, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
April 13, 1999 - July 7, 2000
ABN AMRO INCORPORATED
BD
CRD#: 15776
STAMFORD, CT
Past
May 3, 1996 - September 10, 1996
AMERICAN CENTURY INVESTMENT SERVICES INC.
BD
CRD#: 17437
KANSAS CITY, MO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WE
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
WEALTH ENHANCEMENT | WEALTH ENHANCEMENT GROUP, LLC | WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
CRD#: 116407 / SEC#: 801-60749
RIA
Registered Investment Advisory firm - (12/21/2001 Approved)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
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 6/24/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
WE
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
WEALTH ENHANCEMENT | WEALTH ENHANCEMENT GROUP, LLC | WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
CRD#: 116407 / SEC#: 801-60749
RIA
Registered Investment Advisory firm - (12/21/2001 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
505 N Highway 169 Suite 900, Plymouth, MN 55441
Mailing Address
Phone number
(763) 417-1700
Established
Firm type
Fiscal year end
# of Employees
1,230
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.
Company Information
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
Senior Vice President, Chief Compliance OfficerCRD#: 116407TRUST BUT VERIFY
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