Linda A. Averman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Linda Ann Averman was a registered financial advisor .
Linda is a previously registered financial advisor and started their career in finance in 1983. Linda had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2012 - November 20, 2012
CAPITAL ANALYSTS
June 1, 2012 - November 20, 2012
LINCOLN INVESTMENT
June 1, 2012 - November 20, 2012
LINCOLN INVESTMENT
August 27, 2001 - June 1, 2012
CINCINNATI ANALYSTS, INC.
August 26, 1997 - June 1, 2012
CINCINNATI ANALYSTS, INC.
January 7, 1997 - August 13, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
March 10, 1989 - December 31, 1996
MUTUAL SERVICE CORPORATION
June 4, 1987 - March 14, 1989
JOHN HANCOCK DISTRIBUTORS LLC
May 26, 1983 - June 9, 1987
HORNOR, TOWNSEND & KENT, LLC
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
