MICHAEL W. STEFANO
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.
MICHAEL WILLIAM STEFANO was a registered financial professional .
MICHAEL is a previously registered financial professional and started their career in finance in 1976. MICHAEL had worked at 6 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 7TO, SIE, Series 27, Series 9, Series 10, Series 4, Series 14, Series 24, F04 and Series 40 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2014 - October 2, 2025
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
February 5, 2007 - June 30, 2025
LPL FINANCIAL LLC
March 25, 2005 - October 2, 2025
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
July 25, 2002 - February 9, 2007
SII INVESTMENTS, INC.
November 1, 1999 - January 18, 2002
STRONG INVESTMENTS, INC.
May 3, 1976 - November 1, 1999
ZIEGLER THRIFT TRADING, INC.
Primary Firm SEC Registration
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
CRD#: 116407 / SEC#: 801-60749
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationF04
Date: 5/6/1976
Financial Principal ExaminationSeries 40
Date: 4/22/1976
Registered Principal ExaminationCurrent 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
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Company Information
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
Vice President, M&A Diligence and Integration PlanningCRD#: 116407TRUST BUT VERIFY
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