Michael S. Ross
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CRD#: 2708310
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.
Michael Scott Ross, who also goes by Mike Ross, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Biography
Mike’s fascination with financial investments began when he inherited a small amount of money while attending the Business School at Florida State University, which quickly became a passionate hobby for him. After graduating, he spent three years as a Marketing Executive in the computer field and then spent three years in the Medical Sales profession. Although Mike received numerous awards for his top performance, he searched for a way to merge his passionate hobby with a meaningful profession. This led him to Cigna Financial Advisors in 1995.
In August of 1997, Mike formed The Wealth Enhancement Group, Inc. and became an investment advisor representative. He wished to continue with the Fee-Based Planning Process, but desired a more objective approach to helping his clients when it came to assisting them with financial instruments. The outcome has resulted in a very successful practice, and one that keeps his clients interests ahead of his own. Mike joined Wealth Enhancement Group in 2021 through the ‘The Wealth Enhancement’ acquisition. Mike was also a Five Star Wealth Manager Award Recipient (2017-2022)*
Mike has a son that works in the Fintech Industry and a daughter who is a nurse at a children’s hospital. He enjoys tennis, playing the drums, and traveling with his fiancé.
*Award criteria based on 10 objective criteria associated with providing quality services to clients such as credentials, experience and assets under management among other factors. Wealth managers do not pay a fee to be considered or placed on the final list of 2017, 2018, 2019, 2020, 2021 or 2022 FIVE STAR Wealth Managers. Awarded 9/01/17 for the period of 12/30/16 - 7/14/17. Awarded 9/01/18 for the period of 12/29/17 - 7/24/18. Awarded 9/01/19 for the period of 12/10/18 - 7/23/19. Awarded 9/01/20 for the period of 12/23/19 - 7/10/20. Awarded 9/01/21 for the period of 11/30/20 - 6/25/21. Awarded 9/01/22 for the period of 12/13/21 - 6/10/22.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mike Ross
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.
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
December 1, 2021 - December 31, 2025
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
BD
CRD#: 130139
ALPHARETTA, GA
Past
November 2, 2021 - December 31, 2025
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
RIA
CRD#: 116407
ALPHARETTA, GA
Past
November 1, 2021 - June 30, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
ALPHARETTA, GA
Past
May 2, 2003 - November 1, 2021
THE WEALTH ENHANCEMENT GROUP, INC.
RIA
CRD#: 126060
ALPHARETTA, GA
Past
October 7, 1997 - November 10, 2021
THE LEADERS GROUP, INC.
BD
CRD#: 37157
Alpharetta, GA
Past
April 2, 1996 - October 3, 1997
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WE
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
WEALTH ENHANCEMENT | WEALTH ENHANCEMENT GROUP, LLC | WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
CRD#: 130139 / SEC#: , 8-66305
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
505 N Highway 169 Suite 900, Plymouth, MN 55441
Mailing Address
505 N Highway 169 Suite 900, Plymouth, MN 55441
Phone number
(763) 417-1700
Established
Minnesota since 06/02/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (51 States and Territories)
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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Company Information
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
Senior Vice President, Financial AdvisorCRD#: 130139TRUST BUT VERIFY
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Contact information
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