Allen T. Brillhart
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.
Allen Thompson Brillhart III, who also goes by Allen Thompson Brillhart, Tom Brillhart, was a registered financial professional .
Allen is a previously registered financial professional and started their career in finance in 2001. Allen had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
May 1, 2014 - April 4, 2017
AVANTAX ADVISORY SERVICES
April 30, 2014 - June 21, 2017
AVANTAX INVESTMENT SERVICES, INC.
January 18, 2012 - February 26, 2014
MSI FINANCIAL SERVICES, INC.
December 21, 2011 - February 26, 2014
MSI FINANCIAL SERVICES, INC.
May 12, 2009 - December 21, 2011
NYLIFE SECURITIES LLC
March 28, 2005 - April 9, 2009
MML INVESTORS SERVICES, LLC
March 15, 2005 - April 9, 2009
MML INVESTORS SERVICES, LLC
July 1, 2003 - March 8, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - March 8, 2005
WELLS FARGO CLEARING SERVICES, LLC
March 27, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 22, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
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.
