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CW

Colleen Waller

Some features on this profile are disabled
CRD#: 1483588
CW

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.

Colleen Waller, who also goes by Colleen M Cummins, Colleen Marie Cummins, Colleen O'connell Cummins, Colleen Cummins, Collen M Cummins, Colleen Marie O'connell, Colleen O Waller, Colleen O'connell Waller, was a registered financial professional .

Colleen is a previously registered financial professional and started their career in finance in 2008. Colleen had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Colleen M Cummins | Colleen Marie Cummins | Colleen O'connell Cummins | Colleen Cummins | Collen M Cummins | Colleen Marie O'connell | Colleen O Waller | Colleen O'connell Waller

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) PRIVATE CLIENT GROUP WFP LLC DBA WEALTH FINANCIAL PARTNERS POSITION: Wealth Advisor NATURE: Entity offers financial planning, retirement planning, risk analysis, tax planning and legacy planning. INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 80 START DATE: 11/23/2021 ADDRESS: 22 Church St, Box 60, Liberty Corner NJ 07938, United States DESCRIPTION: Assisting with client meetings, obtaining information on new assets and moving said assets into WFP, communicating with existing clients and troubleshooting issues that arise, maintaining data on client holdings such as AI investments. 2) WFP TAX PARTNERS LLC POSITION: Wealth Advisor NATURE: Tax consulting, Tax preparation, retirement planning, cash flow planning INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 12/03/2021 ADDRESS: 22 Church St, Box 60, Liberty Corner NJ 07938, United States DESCRIPTION: Gathering tax documentation for tax preparation. Contacting clients regarding missing information or updates to tax filing process. Administrative oversight

Blog Corner

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®
None

Experience

Past

March 23, 2023 - April 10, 2023

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
Liberty Corner, NJ
Past

March 22, 2023 - April 10, 2023

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
Liberty Corner, NJ
Past

January 13, 2022 - March 22, 2023

INDEPENDENT FINANCIAL GROUP, LLC

RIA
CRD#: 7717
Liberty Corner, NJ
Past

January 12, 2022 - March 22, 2023

INDEPENDENT FINANCIAL GROUP, LLC

BD
CRD#: 7717
Liberty Corner, NJ
Past

April 11, 2008 - May 6, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
BRIDGEWATER, NJ
Past

March 12, 2008 - May 6, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
BRIDGEWATER, NJ

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
IAR
Series 66
Date: 4/9/2008
Uniform Combined 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: 3/11/2008
General Securities Representative 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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