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DONALD ALAN WARNER

DONALD A. WARNER

Some features on this profile are disabled
CRD#: 459120
DONALD ALAN WARNER

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.

DONALD ALAN WARNER, who also goes by Don Warner, Donald Alan Warner, was a registered financial professional .

DONALD is a previously registered financial professional and started their career in finance in 1974. DONALD had worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.

Biography

Don offers vast experience and knowledge from his decades-long career in helping clients reach their most important goals like achieving an independent and dignified retirement, educating their children and grandchildren, and leaving a legacy for their loved ones and the causes dear to them. He seeks to help clients identify and define their financial goals and to help design a plan to achieve those goals. Don attended the University of Minnesota Carlson School of Management where he earned a Bachelor’s degree in finance. He continued his education throughout his career, earning dual Master’s degrees in Financial Services and Management, as well as Chartered Life Underwriter and Chartered Financial Consultant designations. In 1976, Don began a four-plus decade partnership with Grant Lindaman. He served as Chairman of the Board and Chief Executive Officer for New Era Financial Group, Inc and New Era Financial Advisors, Inc. Don joined Wealth Enhancement Group in 2023. Don was born and raised in the small town of Princeton, Minnesota. He currently lives in Eden Prairie with his wife, Linda. Outside of work, Don has interests in conservative politics, values-driven philanthropy, travel and baseball.
top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Don Warner | Donald Alan Warner

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.
ABW ENTERPRISES LLC / Business Owner / Not Investment related / start date 5/1/2023 - 0 Hrs per month WEALTH ENHANCEMENT ADVISORY SERVICES LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Advisor - Start Date 5/1/2023 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Wealth Enhancement Advisory, an independent investment advisor firm. I started this business activity in 04/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD.

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

June 8, 2023 - August 1, 2025

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

BD
CRD#: 130139
MINNETONKA, MN
Past

May 1, 2023 - August 1, 2025

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA
CRD#: 116407
MINNETONKA, MN
Past

May 1, 2023 - June 30, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
WAYZATA, MN
Past

January 14, 2014 - May 31, 2023

NEW ERA FINANCIAL ADVISORS, INC.

RIA
CRD#: 110603
WAYZATA, MN
Past

May 10, 2013 - May 2, 2023

J.W. COLE FINANCIAL, INC.

BD
CRD#: 124583
WAYZATA, MN
Past

August 31, 2009 - May 10, 2013

FINANCIAL ADVISERS OF AMERICA, LLC

BD
CRD#: 142170
WAYZATA, MN
Past

March 31, 1999 - August 31, 2009

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
WAYZATA, MN
Past

July 31, 1986 - March 11, 1988

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
Past

May 24, 1982 - March 31, 1999

TITAN/VALUE EQUITIES GROUP, INC.

BD
CRD#: 6359
IRVINE, CA
Past

January 2, 1980 - September 22, 1980

MORISON SECURITIES, INC.

BD
CRD#: 8097
Past

August 4, 1978 - December 25, 1979

PLANNERS FINANCIAL SERVICES, INC.

BD
CRD#: 6751
Past

September 4, 1974 - August 6, 1978

LINSCO FINANCIAL GROUP, INC.

BD
CRD#: 524

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: 1/12/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/4/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 8/29/1974
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/6/1984
General Securities Principal Examination

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)
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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)

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

Documents

Direct owners and executive officers

NamePositionCRD#
WEALTH ENHANCEMENT GROUP, LLCOWNER
CAHN, JAMES LORENVICE PRESIDENT6052512
CAIN, STEPHANIE MHEAD OF SUPERVISION4081085
CLARK, LISA LYNNOPERATIONS OFFICER2271616
DEKKO, JEFFREY THOMAS HAROLDVICE PRESIDENT4648018
DIECKHAUS, JOSEPH ALANCHIEF COMPLIANCE OFFICER5374613
FURCHT, ELIZABETH ANNSECRETARY5778785
WINDORSKI, KELLY JOSEPHCHIEF MANAGER AND CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, TREASURER, AND FINANCIAL OPERATIONS PRINCIPAL3211118

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 BROKERAGE SERVICES, LLC

Senior Vice President, Financial AdvisorCRD#: 130139

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