Carlos B. Pargas
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.
Carlos Bartolome Pargas was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1999. Carlos had worked at 5 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2018 - July 17, 2024
AVANTAX ADVISORY SERVICES
January 28, 2014 - December 31, 2018
PROVERBS FINANCIAL
December 2, 2011 - August 24, 2012
CETERA INVESTMENT ADVISERS LLC
August 19, 2003 - December 31, 2008
PARGAS HEALTH CARE FINANCIAL ADVISORS, INC.
March 31, 1999 - December 31, 2011
CARLOS B. PARGAS & ASSOCIATES, P.A., CPAS
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.
