Joe Dieckhaus
As Director of Compliance Operations at Wealth Enhancement Group since 2021, Joe oversees employee Licensing & Registrations, Marketing Compliance and General Compliance Services for WEG’s internal BD and RIA.
Joe began his career representing retirees in arbitration claims after the 2000 dot-com market crash and then worked to defend American Express Financial Advisors. In 2007, he joined the General Counsel’s Organization at Ameriprise Financial and spent 14 years in Legal, Compliance, Supervision and Risk Management roles.
As a licensed attorney, Joe supports his community by providing pro-bono legal services through the Minnesota Volunteer Lawyers Network and is an executive board member of Minneapolis Titans Youth Hockey.
10d. IA LAB – Retail Investment Advisers and the Duty to Monitor Client Accounts (Advanced)