Henry J. Sandigo
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.
Henry Joseph Sandigo was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1991. Henry had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 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
August 6, 2021 - November 30, 2021
AVANTAX ADVISORY SERVICES
August 6, 2021 - November 30, 2021
AVANTAX INVESTMENT SERVICES, INC.
January 23, 2009 - August 17, 2021
SECURITIES AMERICA ADVISORS, INC.
January 23, 2009 - August 17, 2021
SECURITIES AMERICA, INC.
March 9, 2004 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
May 29, 1996 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
August 19, 1992 - August 2, 1996
TRANSAMERICA FINANCIAL ADVISORS, INC.
June 3, 1991 - August 24, 1992
LFG SECURITIES, 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.
