Larry J. Smith
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.
Larry J Smith, who also goes by Larry Jay Smith, was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1973. Larry had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 31, Series 1, Series 53 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
August 18, 2016 - December 31, 2021
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
August 9, 2016 - December 31, 2021
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
October 25, 2013 - September 6, 2016
V WEALTH ADVISORS LLC
July 30, 2010 - September 13, 2016
SFS INTERESTS, INC.
June 17, 2005 - November 2, 2015
LPL FINANCIAL LLC
June 17, 2005 - December 31, 2021
LPL FINANCIAL LLC
May 3, 2000 - June 23, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 1, 1998 - June 23, 2005
OSAIC FA, INC.
June 1, 1998 - June 23, 2005
OSAIC FA, INC.
January 2, 1973 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 12/18/1972
Registered Representative ExaminationCurrent Firm
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
CRD#: 130139 / SEC#: , 8-66305
Contact information
FINRA licenses (51 States and Territories)
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.
