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Amy Oguntala

Amy Oguntala

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CRD#: 6562259
Amy Oguntala

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.

Amy Oguntala was a registered financial professional .

Amy is a previously registered financial professional and started their career in finance in 2016. Amy had worked at 4 firms and has passed the Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.

Biography

Amy has over 20 years’ experience in the financial industry and has held multiple strategic roles with oversight for investments, technology, operations and advisory services, all centering on her passion: serving clients. Her background of steering strategic direction in a manner that best serve clients’ needs has taken her from Suntrust and Accenture to her most recent role as COO of JOYN, a behavioral wealth management firm acquired by Wealth Enhancement Group. She is known to love Monday mornings and has been caught listing ‘work’ as a hobby. A nomadic spirit at heart due to her multicultural upbringing, when she's not at work, you can find her traveling with her husband and son, or at home, wrangling her wanderlust and planning the next destination.
top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
WEG DBA

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

July 10, 2023 - January 4, 2024

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

BD
CRD#: 130139
PLYMOUTH, MN
Past

May 4, 2020 - January 4, 2024

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA
CRD#: 116407
ATLANTA, GA
Past

August 22, 2016 - April 30, 2020

JOYN ADVISORS, INC.

RIA
CRD#: 106725
ATLANTA, GA
Past

May 11, 2016 - April 30, 2020

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
ATLANTA, GA

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
RR
IAR
Series 66
Date: 6/14/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/21/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/11/2016
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/21/2022
General Securities Principal 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.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

Senior Vice President, Managing DirectorCRD#: 130139

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