Abi C. Smollarschmeltzer
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.
Abi Cindy Smollarschmeltzer, who also goes by Abi Cindy Smollar, Schmeltzer Abi Cindy Smollar, was a registered financial professional .
Abi is a previously registered financial professional and started their career in finance in 1987. Abi had worked at 10 firms and has passed the 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 27, 2005 - November 14, 2023
AVANTAX INVESTMENT SERVICES, INC.
January 21, 2004 - April 20, 2004
LH ROSS & COMPANY, INC.
July 17, 2002 - July 11, 2003
WESTPARK CAPITAL, INC.
December 20, 2000 - April 10, 2002
NEWBRIDGE SECURITIES CORPORATION
November 20, 2000 - December 20, 2000
STERLING FINANCIAL INVESTMENT GROUP, INC.
September 30, 1993 - November 20, 2000
JOSEPH CHARLES & ASSOC., INC.
August 13, 1992 - October 12, 1993
GKN SECURITIES CORP.
November 20, 1991 - January 8, 1993
EURO-ATLANTIC SECURITIES INC.
September 26, 1990 - November 25, 1991
GUARDIAN INTERNATIONAL SECURITIES CORP.
July 21, 1987 - September 26, 1990
J. W. GANT & ASSOCIATES, 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 INVESTMENT SERVICES, INC.
CRD#: 13686 / SEC#: , 8-29533
Contact information
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVANTAX WEALTH MANAGEMENT, INC. | SOLE SHAREHOLDER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | GENERAL COUNSEL, SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | PRINCIPAL OPERATIONS OFFICER | 1572778 |
| MACKAY, TODD CHRISTOPHER | DIRECTOR AND VICE PRESIDENT | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER | 5769181 |
| NEARY, JOSEPH DANIEL | DIRECTOR AND VICE PRESIDENT | 2993505 |
| WATTS, ANDREW DAVID | PRESIDENT | 4780880 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 4 |
| Bond | 1 |
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.
