Esther Yao
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.
Esther Yao, who also goes by Esther Yao Murphy, Esther Yao, was a registered financial professional .
Esther is a previously registered financial professional and started their career in finance in 1995. Esther had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2025 - August 3, 2026
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
August 5, 2025 - August 3, 2026
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
December 17, 2020 - October 2, 2024
NUVEEN ASSET MANAGEMENT, LLC
November 30, 2020 - October 2, 2024
NUVEEN SECURITIES, LLC
September 15, 2017 - November 20, 2020
CHARLES SCHWAB & CO., INC.
September 15, 2017 - November 20, 2020
CHARLES SCHWAB & CO., INC.
March 26, 2015 - August 21, 2017
MORGAN STANLEY
February 25, 2015 - August 21, 2017
MORGAN STANLEY
June 1, 2009 - March 10, 2010
MORGAN STANLEY
August 2, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
March 4, 2003 - March 1, 2004
STONE & YOUNGBERG LLC
April 24, 1999 - August 16, 2002
CITIGROUP GLOBAL MARKETS INC.
March 20, 1995 - May 13, 1998
SALOMON BROTHERS INC.
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
Current 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.
