Brian P. Mcgunnigle
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.
Brian Patrick Mcgunnigle was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1997. Brian had worked at 8 firms and has passed the Series 66, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2007 - July 31, 2012
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
February 2, 2007 - September 13, 2012
LPL FINANCIAL LLC
March 14, 2006 - February 8, 2007
SII INVESTMENTS, INC.
October 21, 2005 - January 31, 2006
VALMARK SECURITIES, INC.
May 2, 2001 - October 3, 2005
CAP PRO BROKERAGE SERVICES, INC.
May 30, 2000 - April 3, 2001
VOYA FINANCIAL ADVISORS, INC.
November 17, 1997 - September 27, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
November 17, 1997 - January 19, 2001
IDS LIFE INSURANCE COMPANY
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
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.
