Maureen J. Falgiano
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.
Maureen Joan Falgiano, who also goes by Maureen Joan Falgiano, Maureen Joan Taylor, was a registered financial professional .
Maureen is a previously registered financial professional and started their career in finance in 1995. Maureen had worked at 6 firms and has passed the 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
June 20, 2022 - June 23, 2023
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
January 19, 2018 - February 19, 2021
MUTUAL SECURITIES, INC.
November 8, 2012 - January 19, 2018
LPL FINANCIAL LLC
September 27, 2002 - November 13, 2012
SII INVESTMENTS, INC.
September 26, 2002 - September 27, 2002
INVESTMENT CENTERS OF AMERICA, INC.
August 12, 1997 - September 27, 2002
LPL FINANCIAL LLC
May 31, 1995 - July 31, 1996
CONSECO SECURITIES, INC.
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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