KELLY J. WINDORSKI
WEALTH ENHANCEMENT BROKERAGE SERVICES | Chief Financial Officer
Plymouth, MN 55441
Some features on this profile are disabled
CRD#: 3211118
Professional summary
KELLY JOSEPH WINDORSKI is a registered financial professional currently at WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC located in Plymouth, Minnesota.
KELLY is registered as a RR (Registered Representative) and started their career in finance in 1999. KELLY has worked at 8 firms and has passed the Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.
Biography
Kelly spent 16 years in financial leadership roles with Ameriprise Financial and its predecessor American Express Financial Advisors. While at Ameriprise, Kelly served as Vice President Treasury, overseeing the firm’s treasury operations as well as providing leadership for its balance sheet and risk management initiatives. Prior to joining treasury, Kelly was CFO for Securities America, an independent Broker/Dealer subsidiary of Ameriprise leading all finance, accounting, and advisor compensation functions. Prior to Securities America, Kelly served as Vice President, Lead Financial Officer of the Advice and Wealth Management business, overseeing the finance team responsible for supporting a segment with $4B of annual revenues. In each of these roles, Kelly has successfully led change and innovation to meet the needs of each organization. Kelly has extensive experience in strategic growth and business transformation initiatives, including M&A and business divestitures. He earned two undergraduate degrees in Finance and Accounting from the University of Wisconsin – Madison. Kelly lives in Minneapolis, MN, with his wife and three children.
Advisory registrations are held with Wealth Enhancement Advisory Services. Advisory services offered through Wealth Enhancement Advisory Services, a registered investment advisor. Check the background of investment professionals associated with this site on the Investment Advisor Public Disclosure Website.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 KELLY JOSEPH WINDORSKI'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
May 26, 2016 - Present
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
Office #1: 505 N Highway 169 Suite 900, Plymouth, MN 55441BD
CRD#: 130139
Plymouth, MN
Past
July 29, 2016 - February 8, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
PLYMOUTH, MN
Past
November 20, 2012 - March 18, 2015
RIVERSOURCE DISTRIBUTORS, INC.
BD
CRD#: 139135
MINNEAPOLIS, MN
Past
November 20, 2012 - March 18, 2015
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
BD
CRD#: 840
MINNEAPOLIS, MN
Past
November 20, 2012 - March 18, 2015
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
BD
CRD#: 26506
MINNEAPOLIS, MN
Past
November 7, 2011 - March 18, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Minneapolis, MN
Past
July 15, 2010 - November 7, 2011
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
August 31, 1999 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 31, 1999 - March 3, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
