James Abbott

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CRD#: 2595170

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.

James Abbott, who also goes by James Robert Abbott, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1995. James had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Robert Abbott

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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Past

July 1, 2021 - January 14, 2022

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA

CRD#: 116407

Los Angeles, CA

Past

August 7, 2019 - October 25, 2019

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

CAMARILLO, CA

Past

August 7, 2019 - October 25, 2019

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

CAMARILLO, CA

Past

October 9, 2017 - February 23, 2018

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

Thousand Oaks, CA

Past

September 27, 2017 - February 23, 2018

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

Thousand Oaks, CA

Past

May 13, 1998 - April 6, 2000

T.R. WINSTON & COMPANY, LLC

CRD#: 10571

BEDMINSTER, NJ

Past

June 3, 1997 - August 7, 1997

HAMBRECHT & QUIST LLC

CRD#: 940

SAN FRANCISCO, CA

Past

January 12, 1996 - March 20, 1996

GRIFFIN FINANCIAL SERVICES

CRD#: 10823

Past

March 22, 1995 - April 20, 1995

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

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".

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/6/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/3/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/23/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/27/2017

General Securities Representative Examination

Current Firm

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEAS ADV PART 2A APPENDIX 1 (10/13/2025)

WEAS ADV PART 2A (10/13/2025)

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	Cover Page	Report
03/05/2024	Cover Page	Report
09/26/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

James Abbott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

T.R. WINSTON & COMPANY, LLC

HAMBRECHT & QUIST LLC

GRIFFIN FINANCIAL SERVICES

SALOMON BROTHERS INC.

Primary Firm SEC Registration

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/6/2017

Series 63

Date: 1/3/1996

SIE

Date: 2/23/2018

Series 7

Date: 9/27/2017

Current Firm

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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