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Kimberly Ellen Arthur
KIMBERLY ELLEN ASAY, KIMBERLY ELLEN Arthur, Kimberly Arthur, KIMBERLY ELLEN JONES, KIMBERLY ELLEN STEWARD
CRD#: 4391863
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Investment Adviser
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Previous Broker
WEALTH ENHANCEMENT ADVISORY SERVICES, LLCCRD#: 116407 14850 QUORUM DR
SUITE 350
DALLAS, TX 75254
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2008 (5 years)2 FIRMS2008 - 2008 (<1 year)2 FIRMS2008 - 2010 (1 year)2 FIRMS2010 - 2013 (3 years)2 FIRMS2015 - 2016 (1 year)IAWEALTH ENHANCEMENT ADVISORY SE... (CRD# 116407)2025 - Present (<1 year)BLEVEL FOUR FINANCIAL, LLC (CRD# 25700)2022 - 2024 (1 year)BCABOT LODGE SECURITIES LLC (CRD# 159712)2021 - 2021 (<1 year)BIFS SECURITIES (CRD# 40375)2019 - 2019 (<1 year)BIFS SECURITIES (CRD# 40375)2017 - 2017 (<1 year)BMORGAN STANLEY DW INC. (CRD# 7556)2001 - 2001 (<1 year)IAXO WEALTH MANAGEMENT (CRD# 281767)2025 - 2025 (<1 year)IAXO WEALTH MANAGEMENT (CRD# 281767)2024 - 2024 (<1 year)IAVISTA INVESTMENT PARTNERS LLC (CRD# 286014)2017 - 2024 (6 years)
Disclosure(s)
View By:
2/21/2013
Judgment / Lien
1/3/2013
Judgment / Lien
License(s)

State Registrations

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Texas 2/3/2025

Current Registration(s)
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WEALTH ENHANCEMENT ADVISORY SERVICES, LLC (CRD#:116407)
14850 QUORUM DR SUITE 350, DALLAS, TX 75254
Registered with this firm since 2/3/2025

Previous Registration(s)
th hidden textth hidden textNameLocation
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01/16/2025 - 02/14/2025 XO WEALTH MANAGEMENT (CRD#:281767) DALLAS, TX
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03/27/2024 - 12/31/2024 XO WEALTH MANAGEMENT (CRD#:281767) DALLAS, TX
IA
03/30/2017 - 02/09/2024 VISTA INVESTMENT PARTNERS LLC (CRD#:286014) OKLAHOMA CITY, OK
B
10/17/2022 - 02/09/2024 LEVEL FOUR FINANCIAL, LLC (CRD#:25700) RICHMOND, IN
B
07/06/2021 - 12/01/2021 CABOT LODGE SECURITIES LLC (CRD#:159712) Oklahoma City, OK
B
05/21/2019 - 12/11/2019 IFS SECURITIES (CRD#:40375) Dallas, TX
B
01/23/2017 - 05/18/2017 IFS SECURITIES (CRD#:40375) Oklahoma City, OK
IA
01/15/2015 - 12/31/2016 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) OKLAHOMA CITY, OK
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01/12/2015 - 12/31/2016 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) OKLAHOMA CITY, OK
IA
08/10/2010 - 10/07/2013 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) PLANO, TX
B
07/29/2010 - 10/07/2013 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) PLANO, TX
IA
12/15/2008 - 07/08/2010 FIRST SOUTHWEST ASSET MANAGEMENT INC (CRD#:110760) DALLAS, TX
B
12/15/2008 - 07/08/2010 FIRST SOUTHWEST COMPANY (CRD#:316) DALLAS, TX
IA
05/20/2008 - 09/16/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SAN ANTONIO, TX
B
05/20/2008 - 09/16/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SAN ANTONIO, TX
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08/29/2002 - 04/24/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN ANTONIO, TX
B
08/29/2002 - 04/24/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN ANTONIO, TX
B
06/14/2001 - 12/12/2001 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
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Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.