Carolane M. Christian
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.
Carolane Mary Christian, who also goes by Carolane M Christian, was a registered financial professional .
Carolane is a previously registered financial professional and started their career in finance in 1985. Carolane had worked at 12 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2021 - December 12, 2023
AVANTAX ADVISORY SERVICES
June 14, 2021 - December 12, 2023
AVANTAX INVESTMENT SERVICES, INC.
October 25, 2017 - June 14, 2019
AVANTAX ADVISORY SERVICES
October 25, 2017 - June 14, 2019
AVANTAX INVESTMENT SERVICES, INC.
August 7, 2017 - November 9, 2017
CREATIVE FINANCIAL DESIGNS, INC.
September 10, 2015 - November 9, 2017
CFD INVESTMENTS, INC.
January 2, 2013 - September 1, 2015
INDEPENDENT FINANCIAL GROUP, LLC
November 19, 2009 - September 1, 2015
INDEPENDENT FINANCIAL GROUP, LLC
September 8, 2009 - October 30, 2009
LPL FINANCIAL LLC
February 15, 2008 - February 27, 2014
ADVANCED ADVISORY SERVICES, LTD.
December 7, 1999 - September 8, 2009
WATERSTONE FINANCIAL GROUP, INC.
October 20, 1999 - December 31, 2007
ADVANCED ADVISORY SERVICES, LTD.
January 1, 1996 - December 6, 1999
IFG NETWORK SECURITIES, INC.
February 4, 1994 - January 1, 1996
COMPREHENSIVE FINANCIAL SERVICES, INC.
November 7, 1990 - February 8, 1994
KLEIN, MAUS & SHIRE INC.
September 25, 1985 - October 2, 1990
MORGAN STANLEY DW 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.
