Anita Pinkerton
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.
Anita Pinkerton, who also goes by Anita Joy Baggett, Anita Joy Baggettpinkerton, Anita Joy Jones, Anita Joy Pinkerton, was a registered financial professional .
Anita is a previously registered financial professional and started their career in finance in 1990. Anita had worked at 6 firms and has passed the Series 65, Series 66, Series 63, Series 7TO, SIE, Series 7, Series 4, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2008 - December 31, 2020
AVANTAX ADVISORY SERVICES
August 3, 2007 - December 31, 2020
AVANTAX INVESTMENT SERVICES, INC.
April 22, 2005 - July 2, 2007
MML INVESTORS SERVICES, LLC
January 19, 2000 - October 23, 2003
CETERA WEALTH SERVICES, LLC
January 19, 2000 - October 23, 2003
CETERA WEALTH SERVICES, LLC
March 26, 1999 - December 10, 1999
FSC SECURITIES CORPORATION
September 16, 1998 - December 3, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 22, 1990 - June 30, 1998
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 7TO
Date: 12/22/2022
General Securities 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.
