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JF

John M. Fabiano

Some features on this profile are disabled
CRD#: 4576720
JF

Professional summary

John Michael Fabiano was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

John is a previously registered financial professional and started their career in finance in 2004. Prior to being barred, John had worked at 9 firms, which includes WEALTH ENHANCEMENT ADVISORY SERVICES LLC, DIAMOND WEALTH ADVISORS, LPL FINANCIAL LLC, SSN ADVISORY INC., SECURITIES SERVICE NETWORK LLC, CAPITAL CLIENT GROUP INC., SAMMONS FINANCIAL NETWORK LLC, JOHN HANCOCK DISTRIBUTORS LLC, QUICK & REILLY INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

John M Fabiano | John Fabiano

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 27, 2020 - May 19, 2021

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA
CRD#: 116407
MECHANICSBURG, PA
Past

December 3, 2019 - March 24, 2020

DIAMOND WEALTH ADVISORS

RIA
CRD#: 286163
CARLISLE, PA
Past

December 2, 2019 - May 24, 2021

LPL FINANCIAL LLC

BD
CRD#: 6413
PITTSBURGH, PA
Past

May 7, 2019 - November 20, 2019

SSN ADVISORY, INC.

RIA
CRD#: 126090
Williamsport, PA
Past

May 7, 2019 - November 20, 2019

SECURITIES SERVICE NETWORK, LLC

BD
CRD#: 13318
Williamsport, PA
Past

December 17, 2013 - May 6, 2019

CAPITAL CLIENT GROUP, INC.

RIA
CRD#: 6247
LOS ANGELES, CA
Past

May 30, 2012 - May 6, 2019

CAPITAL CLIENT GROUP, INC.

BD
CRD#: 6247
LOS ANGELES, CA
Past

February 3, 2012 - April 23, 2012

SAMMONS FINANCIAL NETWORK, LLC

BD
CRD#: 158538
WEST DES MOINES, IA
Past

August 31, 2004 - December 1, 2011

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

June 23, 2004 - July 9, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WE
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
WEALTH ENHANCEMENT | WEALTH ENHANCEMENT GROUP, LLC | WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

CRD#: 116407 / SEC#: 801-60749

RIA
Registered Investment Advisory firm - (12/21/2001 Approved)

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

State Security Law Exam
IAR
Series 65
Date: 12/16/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/3/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 6/22/2004
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 7/23/2012
Investment Company Products/Variable Contracts Principal Examination

Current Firm

WE
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
WEALTH ENHANCEMENT | WEALTH ENHANCEMENT GROUP, LLC | WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

CRD#: 116407 / SEC#: 801-60749

RIA
Registered Investment Advisory firm - (12/21/2001 Approved)
PREMIUM
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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
Phone number
(763) 417-1700
Established
Firm type
Fiscal year end
# of Employees
1,230

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WEAS ADV PART 2A APPENDIX 1 (11/13/2025)
WEAS ADV PART 2A (11/13/2025)

Regulatory assets under management

Total Number of Accounts186,400
AUM (Assets Under Management)$ 94,632,028,506

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/20/2024
Cover Page
Report
03/05/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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.

Company Information

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

CRD#: 116407

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