Bruce E. Rawdin-baron
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.
Bruce Eric Rawdin-baron, who also goes by Bruce Eric Baron, Bruce Eric Rawdinbaron, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1984. Bruce had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2019 - December 31, 2019
AVANTAX ADVISORY SERVICES
October 25, 2019 - December 31, 2019
AVANTAX INVESTMENT SERVICES, INC.
January 2, 2018 - October 25, 2019
1ST GLOBAL ADVISORS INC
July 13, 2000 - April 4, 2018
REASON FINANCIAL
July 8, 1997 - December 31, 2003
1ST GLOBAL ADVISORS INC
July 18, 1994 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
December 4, 1992 - July 18, 1994
FIVE STAR RESOURCES, INC.
September 17, 1992 - December 8, 1992
AVANTAX INVESTMENT SERVICES, INC.
February 13, 1989 - December 31, 1990
VOYA FINANCIAL ADVISORS, INC.
July 24, 1984 - December 18, 1986
SENTRA SECURITIES CORPORATION
May 29, 1984 - October 2, 1992
TRIPLE CHECK FINANCIAL SERVICES, INC.
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
