Lee D. Bloom
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 David Bloom, who also goes by Lee David Bloome, was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1996. Lee had worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2021 - December 14, 2022
AVANTAX ADVISORY SERVICES
January 7, 2010 - December 14, 2022
AVANTAX INVESTMENT SERVICES, INC.
January 25, 2006 - December 4, 2009
OSAIC WEALTH, INC.
June 28, 2004 - July 28, 2005
WORTHMARK FINANCIAL SERVICES, LLC
November 13, 2003 - June 7, 2004
C. J. M. PLANNING CORP.
July 8, 1999 - November 3, 2003
FIRST MONTAUK SECURITIES CORP.
December 11, 1998 - July 6, 1999
VERAVEST INVESTMENTS, INC.
March 5, 1998 - November 11, 1998
YANKEE FINANCIAL GROUP, INC.
August 23, 1996 - March 25, 1997
PRIME CAPITAL 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 | ||
| 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.
