Lee F. Shedroff
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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2013 - October 25, 2024
AVANTAX ADVISORY SERVICES
April 17, 2013 - October 25, 2024
AVANTAX INVESTMENT SERVICES, INC.
August 21, 2009 - April 18, 2013
WFG ADVISORS, LP
August 21, 2009 - April 18, 2013
WFG INVESTMENTS, INC.
January 22, 2008 - August 24, 2009
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
January 15, 2008 - August 24, 2009
ASSOCIATED SECURITIES CORP.
January 8, 2008 - August 24, 2009
ASSOCIATED SECURITIES CORP.
March 6, 1995 - July 24, 2008
LPL FINANCIAL LLC
September 14, 1992 - March 6, 1995
1ST GLOBAL CAPITAL CORP.
October 1, 1985 - September 3, 1992
AVANTAX INVESTMENT SERVICES, 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.
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