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Alexandria McCauley Davis

Alexandria M. Davis

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CRD#: 6483858
Alexandria McCauley Davis

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.

Alexandria McCauley Davis, who also goes by Alex Davis, Alexandria Shaye Davis, Alexandria Shaye Doss, Alexandria Shaye Mccauley, Alexandria Mccauley, was a registered financial professional .

Alexandria is a previously registered financial professional and started their career in finance in 2020. Alexandria had worked at 5 firms and has passed the Series 65, Series 7TO and SIE exams.

Biography

Before joining Wealth Enhancement Group through the Carroll Financial acquisition, Alex previously worked for 9 years at a small financial planning firm in Charlotte, NC. She currently holds a series 7 registration and NC Life Insurance license. Alex focuses on helping her clients understand the path to retirement. She is a native of Charlotte and currently resides in Matthews with her husband, Morgan, and their three children, Addison, Kensleigh and McCauley. They enjoy spending time outside as a family and traveling within the United States.
top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alex Davis | Alexandria Shaye Davis | Alexandria Shaye Doss | Alexandria Shaye Mccauley | Alexandria Mccauley

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. OPEN FIBER - 10810 INDEPENDENCE POINTE PKWY, MATTHEWS, NC, 28105 - NON-INVESTMENT RELATED - INTERNET FIBER OPTICS HOME PROVIDER - HR DUTIES FOR HUSBANDS COMPANY - STARTED 08/2023 - APPROX. 40 HRS/MONTH WITH 10 HRS DURING TRADING.

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

January 18, 2022 - February 1, 2024

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

BD
CRD#: 130139
PLYMOUTH, MN
Past

December 1, 2021 - February 1, 2024

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA
CRD#: 116407
Charlotte, NC
Past

November 30, 2021 - June 27, 2022

LPL FINANCIAL LLC

BD
CRD#: 6413
CHARLOTTE, NC
Past

August 25, 2021 - December 6, 2021

CARROLL FINANCIAL ASSOCIATES INC

RIA
CRD#: 105427
CHARLOTTE, NC
Past

March 5, 2020 - December 2, 2021

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
CHARLOTTE, NC

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: 8/19/2021
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/5/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/12/2019
Securities Industry Essentials 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.

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Company Information

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

Financial AdvisorCRD#: 130139

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