Role at Wealth Enhancement Advisory Services
- Title on Schedule A
- Chief Compliance Officer
- Control
- Joseph Dieckhaus is a control person of Wealth Enhancement Advisory Services.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Joseph Dieckhaus has held the filed role since April 2024.
The firm
Form ADV filed 20 August 2026
Career on record
Joseph Dieckhaus has been registered through Wealth Enhancement Advisory Services since June 2021.
- Advisory Solutions GroupCurrent– present · 1 year, · Adviser representative · Firm CRD 339919
- – present · 5 years, · Adviser representative · Firm CRD 116407
- Passed Series 66 · 2021
- Passed SIE · 2018
- Passed Series 24 · 2009
- Passed Series 7 · 2007
Registrations and exams
Joseph Dieckhaus has a current investment-adviser registration in Minnesota and has passed 4 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Minnesota | Investment adviser representative | Approved | 8 June 2021 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 3 June 2021 |
| Series 24 | General Securities Principal Examination | 10 September 2009 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 17 August 2007 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Joseph Alan Dieckhaus
- CRD
- 5374613
- Registration status
- Investment adviser and broker registrations
- Firm bio
- wealthenhancement.com
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
Wealth Enhancement identifies Joe Dieckhaus as chief compliance officer and says he leads its Compliance and Supervision departments. His profile lists a J.D. from Mitchell Hamline School of Law and a B.A. from Doane College. Official Wealth Enhancement biography
Education
- J.D., Mitchell Hamline School of LawOfficial Wealth Enhancement biography
- B.A., Doane CollegeOfficial Wealth Enhancement biography
Common questions
Where does Joseph Dieckhaus work?
Joseph Dieckhaus has been Chief Compliance Officer of Wealth Enhancement Advisory Services, LLC since April 2024, and is a control person of the firm.
Is Joseph Dieckhaus a financial advisor?
Yes. Joseph Dieckhaus has a current investment-adviser registration in Minnesota, through Wealth Enhancement Advisory Services since June 2021, as of 18 October 2026.
How many years of experience does Joseph Dieckhaus have?
Joseph Dieckhaus has worked in the financial industry for 19 years as of 18 October 2026, counted from 24 August 2007, across 2 adviser firms.
What exams has Joseph Dieckhaus passed?
Joseph Dieckhaus has passed 4 licensing exams: the Series 7, Series 24, SIE and Series 66. The earliest, the Series 7, was passed in August 2007.
Leadership at Wealth Enhancement Advisory Services
- Jeffrey DekkoChief Manager and President
- Kelly WindorskiChief Financial Officer and Treasurer
- Michelle BrownsteinChief New Client Development Officer
- Jonathan ButtersChief Business Development Officer
- James CahnChair of the Investment Committee and Chief Strategy Officer
- Aisling Carroll-TransomChief Partner Programs Officer
- Victoria DenaroAssistant Secretary
- William RiceSecretary
- Frederick ShidemanChief Platform Officer and Chief Information Security Officer
- Daniel StampfChief Product Officer
- Brian VnakChief Advisory Officer
- Eric WeissChief Growth Officer