Peter Smith
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CRD#: 5799663
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.
Peter Smith, who also goes by Peter Bryant Smith, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2010. Peter had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Biography
Peter joined the financial services industry following a successful career in sales, applying this experience to provide a high level of customer service to his clients. His focus is on guiding individuals through retirement by managing their cash flow, retirement lifestyle choices, charitable giving goals and estate planning objectives, ultimately working to anticipate risks and simplify their financial life. He is a four-time recipient of the FIVE STAR Wealth Manager (2018-2019, 2021-2023)*.
Peter has enjoyed being involved with many Annapolis organizations like St. Anne’s Church, the Episcopal Diocese of Maryland, The Chase Home and the Boy Scouts. He and his wife Molly are empty nesters, with one of their many accomplishments being that they put their sons through college without student loan debt due to prudent planning.
*Award criteria based on 10 objective criteria associated with providing quality services to clients such as credentials, experience and assets under management among other factors. Wealth managers do not pay a fee to be considered or placed on the final list of the 2018, 2019, 2021, 2022 or 2023 FIVE STAR Wealth Managers. Awarded 1/01/18 for the period of 4/21/17 - 11/06/17. Awarded 1/01/19 for the period of 4/19/18 - 11/07/18. Awarded 1/01/20 for the period of 4/01/19 - 11/13/19. Awarded 1/01/21 for the period of 4/27/20 - 10/30/20. Awarded 1/01/22 for the period of 5/10/21 - 11/12/21. Awarded 1/1/23 for the period of 4/18/22 - 10/21/22.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Peter Bryant Smith
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.
1)07/08/2019 - WEALTH ENHANCEMENT GROUP - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 07/2019 2)07/08/2019 - WEALTH ENHANCEMENT ADVISORY SERVICES LLC - Non-Variable Insurance - inv rel - at reported business location(s) - start: 07/2019 - 4 hr/mth 3)07/08/2019 - Mary T. Smith\Peter B. Smith - Real Estate Rental - Rental - Annapolis, MD - start: 1985 - 1 hr/mth
3. 08/07/2019 - WEALTH ENHANCEMENT ADVISORY SERVICES LLC - Investment related - At reported business location(s) - Registered Investment Advisor Hybrid - start date:8/1/2019 - 40 hrs/mo - I provide investment advisory services through WEALTH ENHANCEMENT ADVISORY SERVICES LLC, an independent investment advisor firm. I started this business activity in 08/2019. I expect to spend approximately 40 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. The firm is separate from and independent of LPL Financial.
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®
NoneExperience
Past
July 30, 2019 - December 31, 2024
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
BD
CRD#: 130139
PLYMOUTH, MN
Past
July 24, 2019 - December 31, 2024
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
RIA
CRD#: 116407
FULTON, MD
Past
July 24, 2019 - December 31, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
FULTON, MD
Past
October 10, 2013 - July 23, 2019
TRIAD ADVISORS LLC
BD
CRD#: 25803
Fulton, MD
Past
October 4, 2013 - September 10, 2019
PLANNING SOLUTIONS GROUP, LLC
RIA
CRD#: 154118
FULTON, MD
Past
January 25, 2012 - September 17, 2013
MORGAN STANLEY
RIA
CRD#: 149777
ANNAPOLIS, MD
Past
January 25, 2012 - September 17, 2013
MORGAN STANLEY
BD
CRD#: 149777
ANNAPOLIS, MD
Past
August 28, 2010 - November 4, 2011
MORGAN STANLEY
RIA
CRD#: 149777
ANNAPOLIS, MD
Past
July 2, 2010 - November 4, 2011
MORGAN STANLEY
BD
CRD#: 149777
ANNAPOLIS, MD
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
General Industry/Product Exam
General Industry/Product Exam
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)
Documents
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.
Company Information
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
Vice President, Financial AdvisorCRD#: 130139TRUST BUT VERIFY
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