Nicole Louise Roberts
Investment Adviser Representative at Wealth Enhancement Advisory Services, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Nicole Louise Roberts is an investment adviser representative with Wealth Enhancement Advisory Services, LLC in Farmington, UT, where they have been registered since 2024. They have worked in the securities industry since 2012 and have been registered with 4 firms, including ROCK House Financial and United Planners' Financial Services of America A Limited Partner. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Utah.
Office
Advisors at this office: 8
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Utah
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Various Insurance Carriers FOR W&r Insurance AgenciesSep 2014 – Jun 2024Salt Lake City, UT
- Waddell & REED, IncSep 2014 – Aug 2017Salt Lake City, UT
- BYU Management SocietyFeb 2016 – Jul 2017Salt Lake City, UT
- Nicole Polatis Insurance AgentSep 2014 – Jun 2024Farmington, UT
- RH Advisors, LLCAug 2017 – Jun 2024Farmington, UT
- Young Living Essential OilsApr 2013 – no end date reportedKaysville, UT
- RH Advisors, LLCMay 2018 – Jun 2024Farmington, UT
- United Planners Financial ServicesAug 2017 – Apr 2019Farmington, UT
- RH Advisors, LLCNov 2020 – Jun 2024Farmington, UT
- Wealth Enhancement GroupJul 2024 – no end date reportedFarmington, UT
- Wealth Enhancement Advisory ServicesJul 2024 – no end date reportedFarmington, UT
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Wealth Enhancement Advisory Services, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Other
- $999,999 or less1.50%
- $1,000,000–$2,000,0001.25%
- Over $2,000,0001.00%
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Retirement income planning, investment management, risk management and insurance, tax strategies, estate planning, and financial planning. Also offers specialized solutions including employee retirement account management, trust services, tax preparation, business owner consulting, plan sponsor guidance, plan participant education, and employee benefits programs.
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 976
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Plymouth, MN
- SEC file number:
- 801-60749
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 20, 2026
View full firm profileOther advisors at Wealth Enhancement Advisory Services, LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Nicole Louise Roberts has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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