Melisa A. Mccaffrey
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.
Melisa Ann Mccaffrey, who also goes by Melisa Ann Hicks, Melissa Ann Hicks, Melisa Ann Vogel, Melissa Ann Vogel, was a registered financial professional .
Melisa is a previously registered financial professional and started their career in finance in 2003. Melisa had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2012 - November 30, 2012
AVANTAX ADVISORY SERVICES
January 13, 2012 - November 30, 2012
AVANTAX INVESTMENT SERVICES, INC.
February 8, 2007 - December 8, 2010
EAGLE STRATEGIES LLC
May 18, 2004 - December 8, 2010
NYLIFE SECURITIES LLC
November 11, 2003 - April 1, 2004
SLD AMERICA EQUITIES, 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.
