Ann Shabo
Professional summary
Ann Shabo, who also goes by Ann Raphael, Ann L Shabo, is a registered financial professional currently at WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC located in Plymouth, Minnesota.
Ann is registered as a RR (Registered Representative) and started their career in finance in 2020. Ann has worked at 3 firms and has passed the Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ann Shabo's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 28, 2022 - Present
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
Office #1: 505 N Highway 169 Suite 900, Plymouth, MN 55441January 24, 2022 - December 12, 2023
LPL FINANCIAL LLC
May 30, 2020 - December 22, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/13/2023)
(12/13/2023)
Exams
Series 7TO
Date: 5/1/2021
General Securities Representative ExaminationSeries 6TO
Date: 5/30/2020
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
CRD#: 130139 / SEC#: , 8-66305
Contact information
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
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