Winifred E. Moriarty
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.
Winifred Eileen Moriarty, who also goes by Winifred Eileen Gaudet, was a registered financial professional .
Winifred is a previously registered financial professional and started their career in finance in 1998. Winifred had worked at 6 firms and has passed the Series 66, Series 63, SIE, 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
October 26, 2023 - March 7, 2024
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
September 5, 2023 - March 19, 2024
LPL FINANCIAL LLC
August 6, 2020 - August 31, 2023
PURSHE KAPLAN STERLING INVESTMENTS
October 5, 2011 - February 11, 2019
J.P. MORGAN SECURITIES LLC
October 1, 2008 - December 31, 2010
J.P. MORGAN SECURITIES LLC
October 1, 2008 - December 31, 2010
J.P. MORGAN SECURITIES LLC
May 29, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
November 30, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
January 7, 2005 - November 30, 2006
CHASE INVESTMENT SERVICES CORP.
September 22, 1998 - December 31, 2004
CHASE INVESTMENT SERVICES CORP.
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.
