Richard G. Macaleese
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.
Richard Gerard Macaleese was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2015 - October 25, 2024
AVANTAX ADVISORY SERVICES
November 19, 2014 - October 25, 2024
AVANTAX INVESTMENT SERVICES, INC.
March 18, 2014 - November 21, 2014
NATIONAL PLANNING CORPORATION
April 28, 2000 - November 21, 2014
NATIONAL PLANNING CORPORATION
November 8, 1988 - May 15, 2000
AVANTAX INVESTMENT SERVICES, INC.
November 2, 1988 - November 25, 1988
CADARET, GRANT & CO., INC.
November 12, 1987 - November 17, 1988
FOCUS SECURITIES, INC.
December 27, 1983 - November 16, 1987
METROPOLITAN LIFE INSURANCE COMPANY
December 27, 1983 - November 18, 1987
MSI FINANCIAL SERVICES, INC.
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
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