Jullie Caniford
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.
Jullie Caniford, who also goes by Jullie A Caniford, Jullie Ann Caniford, Jullie Ann Norman, was a registered financial professional .
Jullie is a previously registered financial professional and started their career in finance in 2012. Jullie had worked at 5 firms and has passed the Series 63, Series 65, 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
Experience
December 6, 2021 - August 22, 2022
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
June 6, 2017 - June 22, 2020
LIGHTHOUSE WEALTH MANAGEMENT
April 3, 2014 - July 17, 2015
CAPITAL INVESTMENT GROUP, INC.
November 20, 2013 - July 16, 2015
SENTINEL CAPITAL SOLUTIONS
November 9, 2012 - November 20, 2013
SPIRE WEALTH MANAGEMENT, 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.
