RICHARD A. HEARD
Some features on this profile are disabled
CRD#: 6245870
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.
RICHARD ALLEN HEARD, CFP®, who also goes by Richard A Heard, was a registered financial professional .
RICHARD is a previously registered financial professional and started their career in finance in 2013. RICHARD had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Biography
A law degree from the University of Texas School of Law set Richard on a 15-year path of practicing business law, including five years as the general counsel for the largest health alliance in the U.S. He split the next 15 years as an executive with two Fortune 100 healthcare corporations; one as General Manager with total P&L responsibility, and the other as a strategic account leader, representing up to $10 billion in annual sales. After retiring from the corporate world after 30 years, Richard pursued an equally impressive second career as a financial professional, which eventually led to him becoming part of the Wealth Enhancement Group team. Richard’s knowledge and experience will be invaluable resources for both his team members and their clients. Along with his wife, Glenda, Richard has lived in Houston since 1998. They have four sons and five grandchildren. Richard has been active in the community as both a board
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Insurance Planning
Investment Planning
Retirement Planning
What is your minimum asset requirement?
1
Are you a "fiduciary"?
No
Aliases
Richard A Heard
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)7/2021- WEALTH ENHANCEMENT GROUP- DBA for LPL Business (entity for LPL business)- Inv. Related- Houston, TX 2) 7/13/2021 - WEALTH ENHANCEMENT ADVISORY SERVICES LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - FINANCIAL ADVISOR - Start Date: 6/25/2021 - 180 Hours Per Month/Time Spent 100% - I provide investment advisory services through WEALTH ENHANCEMENT ADVISORY SERVICES LLC, an independent investment advisor firm. I started this business activity in 7/2021. I expect to spend approximately 180 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®
CFP®
Start date: 2018
Experience
Past
July 22, 2021 - July 3, 2024
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
BD
CRD#: 130139
PLYMOUTH, MN
Past
July 1, 2021 - July 3, 2024
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
RIA
CRD#: 116407
HOUSTON, TX
Past
July 1, 2021 - August 12, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
HOUSTON, TX
Past
March 17, 2014 - July 12, 2021
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
HOUSTON, TX
Past
September 30, 2013 - July 12, 2021
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
HOUSTON, TX
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See 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
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
Monitor RICHARD HEARD
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
