Rhonda M. Lindquist
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.
Rhonda May Lindquist, who also goes by Rhonda May Broadbent, Rhonda Lindquist, Rondi M Lindquist, Rhonda M Skraba, Rhonda May Skraba, Rondi Skraba, was a registered financial professional .
Rhonda is a previously registered financial professional and started their career in finance in 1984. Rhonda had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 27 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
November 23, 2016 - December 31, 2020
AVANTAX ADVISORY SERVICES
August 23, 2013 - December 31, 2020
AVANTAX INVESTMENT SERVICES, INC.
April 8, 2003 - September 16, 2011
HEIM, YOUNG & ASSOCIATES, INC.
August 31, 1998 - October 16, 2002
HEIM, YOUNG & ASSOCIATES, INC.
October 7, 1987 - December 16, 1988
OBERWEIS SECURITIES, INC.
October 28, 1985 - October 10, 1987
INLAND SECURITIES CORPORATION
September 25, 1984 - September 28, 1984
BECKER PARIBAS INCORPORATED
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.
