Charles L. Milett
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.
Charles Lawrence Milett, who also goes by Chuck Milett, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1983. Charles had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2014 - June 5, 2019
AVANTAX ADVISORY SERVICES
December 18, 2014 - June 5, 2019
AVANTAX INVESTMENT SERVICES, INC.
December 18, 2012 - December 23, 2014
CETERA INVESTMENT ADVISERS LLC
December 17, 2012 - December 23, 2014
CETERA FINANCIAL SPECIALISTS LLC
February 5, 1999 - December 31, 2003
AVANTAX ADVISORY SERVICES
January 2, 1991 - December 17, 2012
AVANTAX INVESTMENT SERVICES, INC.
January 3, 1989 - December 31, 1990
DREHER & ASSOCIATES, INC.
January 7, 1987 - December 31, 1988
MUTUAL SERVICE CORPORATION
September 24, 1986 - December 22, 1986
NEW ENGLAND SECURITIES
December 1, 1983 - November 29, 1984
ELWYN, WILLBERT & HAIG 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 |
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.
