Lee D. Mccollum
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 Dozier Mccollum III, who also goes by Lee D Mccollum III, Lee Doizer Mccollum III, was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1990. Lee 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
May 7, 2007 - November 15, 2017
AVANTAX ADVISORY SERVICES
November 29, 2006 - November 15, 2017
AVANTAX INVESTMENT SERVICES, INC.
May 15, 2006 - November 3, 2006
EDWARD JONES
October 20, 1998 - April 22, 2006
BULL, INC.
January 8, 1993 - December 31, 1996
WOODBURY FINANCIAL SERVICES, INC.
February 8, 1991 - January 15, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 8, 1991 - January 15, 1993
EQUITABLE ADVISORS, LLC
July 16, 1990 - February 14, 1991
WOODBURY FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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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.
