Sarah B. Guibert
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.
Sarah Beth Guibert, who also goes by Sarah Beth Peckenpaugh, Sarah Beth Wark, Sarah Wark, Sarah Guibert, was a registered financial professional .
Sarah is a previously registered financial professional and started their career in finance in 2016. Sarah had worked at 8 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53, Series 4 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
March 26, 2020 - March 16, 2026
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
February 5, 2020 - June 30, 2025
LPL FINANCIAL LLC
February 5, 2020 - March 16, 2026
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
June 12, 2018 - January 7, 2020
SCF INVESTMENT ADVISORS, INC.
June 12, 2018 - January 7, 2020
SCF SECURITIES, INC.
October 13, 2016 - April 13, 2018
KESTRA ADVISORY SERVICES, LLC
October 13, 2016 - April 13, 2018
KESTRA INVESTMENT SERVICES, LLC
July 18, 2016 - October 5, 2016
CHARLES SCHWAB & CO., INC.
June 29, 2016 - October 5, 2016
CHARLES SCHWAB & CO., 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
Series 52TO
Date: 4/5/2019
Municipal Securities Representative ExaminationCurrent 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.
