Individual Firm
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SAMUEL SOLER-CONKLIN
CRD#: 6513541
IA
B
WEALTH ENHANCEMENT ADVISORY SERVICES, LLCCRD#: 116407 10 POINTE DR
SUITE 100
BREA, CA 92821
SUITE 100
BREA, CA 92821
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLCCRD#: 130139 10 POINTE DR
SUITE 100
BREA, CA 92821
SUITE 100
BREA, CA 92821
0
Disclosures
9
Years of Experience
View By:
State Registrations
B
Arizona 4/10/2024
B
Kentucky 6/10/2024
B
California 9/16/2022
B
Nevada 6/28/2023
IA
California 11/4/2024
B
New Jersey 8/21/2024
B
Colorado 4/10/2024
B
New York 4/10/2024
B
Connecticut 6/27/2024
B
North Carolina 8/26/2024
B
Delaware 11/18/2024
B
Oregon 4/10/2024
B
Florida 6/28/2023
B
South Carolina 8/20/2024
B
Georgia 4/2/2024
B
South Dakota 4/10/2024
B
Hawaii 8/17/2024
B
Tennessee 12/17/2024
B
Idaho 9/16/2022
B
Texas 9/16/2022
B
Illinois 10/4/2022
B
Virginia 4/10/2024
B
Indiana 10/4/2022
B
Washington 6/28/2023
SRO Registrations
B
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B
Registered with this firm since 12/11/2024
IA
Registered with this firm since 11/4/2024
B
Registered with this firm since 9/16/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/19/2022 - 11/01/2024 | Brea, CA | |
IA | 07/23/2018 - 09/22/2022 | RIVERSIDE, CA | |
B | 11/22/2016 - 09/22/2022 | RIVERSIDE, CA | |
IA | 11/23/2016 - 07/13/2018 | RIVERSIDE, CA | |
IA | 10/12/2015 - 11/07/2016 | ONTARIO, CA | |
B | 08/03/2015 - 11/07/2016 | ONTARIO, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.