Colleen T. Jarvis
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.
Colleen Teresa Jarvis, who also goes by Colleen Teresa Gaudy, was a registered financial professional .
Colleen is a previously registered financial professional and started their career in finance in 1991. Colleen had worked at 7 firms and has passed the Series 63, Series 65, SIE 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
March 15, 2016 - December 4, 2017
AVANTAX ADVISORY SERVICES
May 29, 2015 - December 4, 2017
AVANTAX INVESTMENT SERVICES, INC.
June 21, 2011 - July 19, 2013
PFS INVESTMENTS INC.
November 19, 1992 - November 9, 1993
NORTH AMERICAN MANAGEMENT, INC.
November 6, 1991 - April 10, 1992
K.W. BROWN INVESTMENTS
October 2, 1991 - December 31, 1991
NORTH AMERICAN MANAGEMENT, INC.
July 29, 1991 - September 12, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
July 29, 1991 - September 12, 1991
PRUCO SECURITIES, 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
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.
