Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephanie? Claim Your ProfileStephanie Cain has been in the financial industry since 2002. Stephanie is currently a Registered Representative and Investment Advisor Representative with Wealth Enhancement Advisory Services, LLC, and is licensed in 53 states and the District of Columbia. Stephanie has a wide range of experience in the financial services industry, including experience with Ameriprise Financial Services, Inc., U.S. Bancorp Investments, Inc., Morgan Stanley DW Inc., and Residential Funding Securities Corporation. Stephanie holds a number of professional designations and licenses, including Series 4, 7, 24, 31, 53, and 63 licenses and a Series 65 license. Stephanie is also a Notary Public. Stephanie specializes in providing financial planning and investment advice to individuals, families, and businesses. Stephanie's experience and expertise make her a valuable resource for clients seeking to achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Erisa 3(38) investment manager
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Fees received from third party investment advisors
1
2
MN
01/29/2014 - Present
Wealth Enhancement Advisory Services, LLC (PLYMOUTH MN)
MN
08/21/2007 - 11/02/2007
AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)
MN
08/01/2006 - 08/01/2007
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
MN
09/06/2002 - 07/17/2006
MORGAN STANLEY DW INC. (MINNEAPOLIS MN)
MI
04/06/2001 - 08/20/2001
RESIDENTIAL FUNDING SECURITIES CORPORATION (DETROIT MI)
IA
Issued 05/10/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/03/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/05/2007
Series 4 - Registered Options Principal Examination
BC
Issued 11/03/2006
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/05/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/31/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 04/05/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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