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LS

Lee F. Shedroff

Some features on this profile are disabled
CRD#: 1414011
LS

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.

Lee Farnol Shedroff, CFP® was a registered financial professional .

Lee is a previously registered financial professional and started their career in finance in 1985. Lee had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) H. D. VEST INSURANCE AGENCY, INC.~'NIR'~6333 N. STATE HIGHWAY 161~IRVING~TX~75038~Equity Indexed Annuity~Equity Indexed Annuity~3/4/2014~1hrs~1hrs~SALES/SERVICE OF INDEX ANNUITY 2) Lee Shedroff Tax Practice~'NIR'~9249 W. Lone Cactus~Peoria~AZ~85382~Tax Preparation/Accounting~Owner/Sole Proprietor~12/1/1982~120hrs~120hrs~Tax Preparation 3) Scouts on Stamps Society, International~'NIR'~P. O. Box 6228~Kennewick~WA~99336~Club/Association Director/Officer~Director/Officer~7/1/2014~5hrs~0hrs~Board Member & on the Stamp Collecting Merit Badge (Boy Scouts) Committee 4)FENGER FINANCIAL, PLLC POSITION: REFERRING REP NATURE: ADVANTAX BRANCH OFFICE OFFERING ADVISORY, INSURANCE AND INVESTMENT SERVICES. INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 25 START DATE: 11/10/2023 ADDRESS: 3740 E. SOUTHERN AVE,, SUITE 110, MESA AZ 85206, United States DESCRIPTION: REFERRING REP TO FENGER FINANCIAL UNDER JOINT REP # 70250.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Past

June 4, 2013 - October 25, 2024

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
PEORIA, AZ
Past

April 17, 2013 - October 25, 2024

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
Mesa, AZ
Past

August 21, 2009 - April 18, 2013

WFG ADVISORS, LP

RIA
CRD#: 125073
PEORIA, AZ
Past

August 21, 2009 - April 18, 2013

WFG INVESTMENTS, INC.

BD
CRD#: 22704
PEORIA, AZ
Past

January 22, 2008 - August 24, 2009

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

RIA
CRD#: 104790
PEORIA, AZ
Past

January 15, 2008 - August 24, 2009

ASSOCIATED SECURITIES CORP.

RIA
CRD#: 12969
PEORIA, AZ
Past

January 8, 2008 - August 24, 2009

ASSOCIATED SECURITIES CORP.

BD
CRD#: 12969
PEORIA, AZ
Past

March 6, 1995 - July 24, 2008

LPL FINANCIAL LLC

BD
CRD#: 6413
PEORIA, AZ
Past

September 14, 1992 - March 6, 1995

1ST GLOBAL CAPITAL CORP.

BD
CRD#: 30349
DALLAS, TX
Past

October 1, 1985 - September 3, 1992

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/4/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/21/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/15/1986
General Securities Principal Examination

Current Firm

AA
AVANTAX ADVISORY SERVICES
1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES

CRD#: 104556 / SEC#: 801-29892

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Contact information

Main Address
3200 Olympus Blvd Suite 100, Dallas, TX 75019
Mailing Address
Phone number
(972) 870-6000
Established
Firm type
Fiscal year end
# of Employees
2,278

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/31/2025)
AAS ADV PART 2A APPENDIX WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts140,306
AUM (Assets Under Management)$ 46,109,939,749

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/13/2024
Cover Page
Report
11/28/2023
Cover Page
Report
12/16/2022
Cover Page
Report

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.

Company Information

AVANTAX ADVISORY SERVICES

CRD#: 104556

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