Albert Azcarate
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.
Albert Azcarate, who also goes by Al Azcarate, Albert Azcarate Jr, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1996. Albert had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2017 - December 11, 2017
AVANTAX ADVISORY SERVICES
April 5, 2017 - February 26, 2018
AVANTAX INVESTMENT SERVICES, INC.
September 26, 2014 - April 7, 2015
EDWARD JONES
September 22, 2014 - April 7, 2015
EDWARD JONES
February 28, 2012 - October 8, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 25, 2012 - October 8, 2013
WELLS FARGO CLEARING SERVICES, LLC
March 27, 2000 - June 17, 2004
SUNAMERICA SECURITIES, INC.
February 4, 1996 - June 9, 1997
MORGAN STANLEY DW INC.
January 20, 1996 - February 13, 1996
GLOBAL FINANCIAL GROUP, 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 | ||
| 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.
