Joseph S. St. Thomas
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.
Joseph Stephen St. Thomas, CFP®, who also goes by Joe Stephen St. Thomas, Joseph Stephen St. Thomas, Joseph Stephen St Thomas, Joseph St Thomas, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2001. Joseph had worked at 6 firms and has passed the Series 66, 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
Start date: 2009
Experience
January 31, 2024 - July 9, 2025
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
January 31, 2024 - July 9, 2025
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
May 18, 2022 - December 6, 2023
VALMARK SECURITIES, INC.
April 21, 2020 - March 9, 2021
VALMARK SECURITIES, INC.
May 21, 2019 - January 12, 2024
ALTRUVISTA LLC
November 25, 2013 - March 15, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
November 6, 2007 - March 15, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
September 10, 2001 - May 2, 2002
IDS LIFE INSURANCE COMPANY
September 10, 2001 - May 2, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
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.
