James F. Mathis
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.
James Franklin Mathis was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 6 firms and has passed the Series 63, SIE 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
September 30, 1996 - September 29, 2015
AVANTAX ADVISORY SERVICES
March 27, 1995 - September 29, 2015
AVANTAX INVESTMENT SERVICES, INC.
April 23, 1993 - October 30, 1993
UNITED PACIFIC SECURITIES, INC.
December 22, 1989 - May 10, 1993
LOCUST STREET SECURITIES, INC.
July 19, 1988 - December 16, 1989
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
November 25, 1983 - August 5, 1988
BOARDWALK CAPITAL CORPORATION
State Registrations and Notice Filings
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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.
