Elliott H. Ring
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.
Elliott Howard Ring, CFP® was a registered financial professional .
Elliott is a previously registered financial professional and started their career in finance in 1987. Elliott had worked at 8 firms and has passed the Series 63, SIE, Series 62, Series 22 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
Start date: 1987
Experience
August 4, 2017 - December 2, 2022
AVANTAX ADVISORY SERVICES
July 27, 2017 - December 2, 2022
AVANTAX INVESTMENT SERVICES, INC.
November 14, 2014 - August 10, 2017
SECURITIES AMERICA, INC.
January 8, 2013 - November 14, 2014
SUNSET FINANCIAL SERVICES, INC.
August 26, 2010 - November 21, 2012
LPL FINANCIAL LLC
October 16, 2003 - November 21, 2012
LPL FINANCIAL LLC
August 21, 1997 - October 15, 2003
SIGMA FINANCIAL CORPORATION
May 23, 1989 - August 20, 1997
MARINER FINANCIAL SERVICES, INC.
December 2, 1987 - June 3, 1989
CETERA WEALTH SERVICES, 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
Series 62
Date: 9/23/1988
Corporate Securities Limited Representative ExaminationCurrent 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.
