Andrea A. Montville
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.
Andrea Alyce Montville, who also goes by Andrea Montville, Montville, was a registered financial professional .
Andrea is a previously registered financial professional and started their career in finance in 2000. Andrea had worked at 22 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2025 - October 6, 2025
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
January 6, 2025 - October 6, 2025
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
July 17, 2024 - November 4, 2024
UBS FINANCIAL SERVICES INC.
July 17, 2024 - November 4, 2024
UBS FINANCIAL SERVICES INC.
July 14, 2023 - August 31, 2023
EMPOWER ADVISORY GROUP, LLC
July 13, 2023 - August 31, 2023
EMPOWER FINANCIAL SERVICES, INC.
January 11, 2023 - June 23, 2023
MORGAN STANLEY
October 27, 2017 - June 23, 2023
HARRISDIRECT LLC
October 11, 2017 - June 23, 2023
E*TRADE SECURITIES LLC
June 1, 2017 - October 24, 2017
STRATEGY FINANCIAL GROUP
October 19, 2015 - April 13, 2017
VALIC FINANCIAL ADVISORS, INC.
September 29, 2015 - April 13, 2017
VALIC FINANCIAL ADVISORS, INC.
August 26, 2015 - September 22, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 20, 2015 - September 22, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 18, 2014 - June 5, 2014
RETIREMENT PLANNERS OF AMERICA
January 4, 2013 - December 10, 2013
STRATEGIC ADVISERS LLC
October 3, 2012 - December 10, 2013
FIDELITY BROKERAGE SERVICES LLC
November 6, 2007 - December 14, 2011
CHARLES SCHWAB & CO., INC.
November 6, 2007 - December 14, 2011
CHARLES SCHWAB & CO., INC.
September 28, 2006 - August 21, 2007
IFMG SECURITIES, INC.
September 25, 2006 - August 21, 2007
IFMG SECURITIES, INC.
July 6, 2005 - July 21, 2005
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - July 21, 2005
CHASE INVESTMENT SERVICES CORP.
April 12, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
April 12, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
December 3, 2004 - February 18, 2005
NYLIFE SECURITIES LLC
September 25, 2003 - November 3, 2004
BANC ONE SECURITIES CORPORATION
September 25, 2003 - November 3, 2004
BANC ONE SECURITIES CORPORATION
February 6, 2002 - September 18, 2003
LASALLE FINANCIAL SERVICES, INC.
June 21, 2001 - September 18, 2003
LASALLE FINANCIAL SERVICES, INC.
April 19, 2001 - May 18, 2001
WINTRUST INVESTMENTS LLC
November 1, 2000 - April 18, 2001
TD AMERITRADE, INC.
Primary Firm SEC Registration
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
CRD#: 116407 / SEC#: 801-60749
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 ADVISORY SERVICES, LLC
CRD#: 116407 / SEC#: 801-60749
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 186,400 |
| AUM (Assets Under Management) | $ 94,632,028,506 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/20/2024 | ||
| 03/05/2024 | ||
| 09/26/2023 |
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.
