Rosanne Schepis
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.
Rosanne Schepis was a registered financial professional .
Rosanne is a previously registered financial professional and started their career in finance in 1996. Rosanne had worked at 8 firms and has passed the Series 65, Series 63, SIE 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
August 4, 2021 - December 31, 2021
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
March 2, 2021 - December 31, 2021
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
March 1, 2021 - December 31, 2021
LPL FINANCIAL LLC
May 8, 2012 - March 3, 2021
TRIAD ADVISORS LLC
March 9, 2010 - March 2, 2021
REBY ADVISORS, LLC
May 8, 2006 - May 11, 2012
OSAIC WEALTH, INC.
July 11, 2001 - May 10, 2006
ADVANTAGE CAPITAL CORPORATION
August 30, 1996 - July 19, 2000
MML INVESTORS SERVICES, LLC
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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