CC
Cory Carlson
WEALTH ENHANCEMENT BROKERAGE SERVICES
Plymouth, MN 55441
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CRD#: 2871042
CC
Professional summary
Cory Carlson, who also goes by Cory Nicholas Carlson, is a registered financial professional currently at WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC located in Plymouth, Minnesota.
Cory is registered as a RR (Registered Representative) and started their career in finance in 1998. Cory has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Cory Nicholas Carlson
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) - BD
Click below to view Cory Carlson's CRS (Customer Relationship Summary).
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
Current
November 7, 2017 - Present
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
Office #1: 505 N Highway 169 Suite 900, Plymouth, MN 55441BD
CRD#: 130139
Plymouth, MN
Past
November 1, 2017 - June 16, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
February 21, 2007 - June 15, 2017
FELTL & COMPANY
BD
CRD#: 6905
PLYMOUTH, MN
Past
September 10, 2002 - December 31, 2006
MILLER JOHNSON STEICHEN KINNARD, INC.
BD
CRD#: 694
MINNEAPOLIS, MN
Past
January 1, 2001 - October 12, 2001
MILLER JOHNSON STEICHEN KINNARD, INC.
BD
CRD#: 694
MINNEAPOLIS, MN
Past
June 25, 1998 - January 1, 2001
JOHN G. KINNARD AND COMPANY, INCORPORATED
BD
CRD#: 466
MINNEAPOLIS, MN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/17/2025)
RR
Alaska(6/17/2025)
RR
Arizona(6/17/2025)
RR
Arkansas(6/17/2025)
RR
California(6/17/2025)
RR
Colorado(6/17/2025)
RR
Connecticut(6/17/2025)
RR
Delaware(6/17/2025)
RR
District of Columbia(6/17/2025)
RR
Florida(6/17/2025)
RR
Georgia(6/17/2025)
RR
Hawaii(6/17/2025)
RR
Idaho(6/17/2025)
RR
Illinois(6/17/2025)
RR
Indiana(6/17/2025)
RR
Iowa(6/17/2025)
RR
Kansas(6/17/2025)
RR
Kentucky(6/17/2025)
RR
Louisiana(6/17/2025)
RR
Maine(6/17/2025)
RR
Maryland(6/17/2025)
RR
Massachusetts(6/17/2025)
RR
Michigan(6/17/2025)
RR
Minnesota(6/17/2025)
RR
Mississippi(6/17/2025)
RR
Missouri(6/17/2025)
RR
Montana(6/17/2025)
RR
Nebraska(6/17/2025)
RR
Nevada(6/17/2025)
RR
New Hampshire(6/17/2025)
RR
New Jersey(6/17/2025)
RR
New Mexico(6/17/2025)
RR
New York(6/17/2025)
RR
North Carolina(6/17/2025)
RR
North Dakota(6/17/2025)
RR
Ohio(6/17/2025)
RR
Oklahoma(6/17/2025)
RR
Oregon(6/17/2025)
RR
Pennsylvania(6/17/2025)
RR
Rhode Island(6/17/2025)
RR
South Carolina(6/17/2025)
RR
South Dakota(6/17/2025)
RR
Tennessee(6/17/2025)
RR
Texas(6/17/2025)
RR
Utah(6/17/2025)
RR
Vermont(6/17/2025)
RR
Virginia(6/17/2025)
RR
Washington(6/17/2025)
RR
West Virginia(6/17/2025)
RR
Wisconsin(6/17/2025)
RR
Wyoming(6/17/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/22/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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)
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
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.
