Thomas E. Barth
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.
Thomas Edward Barth, who also goes by Thomas E Barth, Tom Barth, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 9 firms and has passed the Series 63, Series 22 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
January 9, 2004 - December 31, 2012
AVANTAX ADVISORY SERVICES
October 8, 2003 - December 31, 2012
AVANTAX INVESTMENT SERVICES, INC.
May 24, 2002 - November 14, 2002
SPC
February 9, 2002 - November 13, 2002
PARKLAND SECURITIES, LLC
April 6, 1998 - February 9, 2002
WALNUT STREET SECURITIES, INC.
April 14, 1997 - April 6, 1998
ROBERT W. BAIRD & CO. INCORPORATED
April 9, 1996 - December 31, 1996
ROBERT W. BAIRD & CO. INCORPORATED
April 15, 1991 - December 31, 1995
ROBERT W. BAIRD & CO. INCORPORATED
April 15, 1991 - April 6, 1998
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 8, 1984 - March 22, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 8, 1984 - March 22, 1991
EQUITABLE ADVISORS, LLC
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.
