Kathleen R. Bourikas
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.
Kathleen Rose Marie Bourikas, who also goes by Kathleen R M Crank, Kathleen Rose Marie Crank, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1998. Kathleen had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2017 - February 20, 2018
AVANTAX ADVISORY SERVICES
December 1, 2017 - February 20, 2018
AVANTAX INVESTMENT SERVICES, INC.
August 1, 2011 - June 26, 2017
VALIC FINANCIAL ADVISORS, INC.
July 19, 2011 - June 26, 2017
VALIC FINANCIAL ADVISORS, INC.
January 31, 2003 - July 25, 2011
AVANTAX ADVISORY SERVICES
November 12, 2002 - July 25, 2011
AVANTAX INVESTMENT SERVICES, INC.
January 26, 2001 - December 6, 2002
WELLS FARGO CLEARING SERVICES, LLC
January 2, 2001 - December 6, 2002
WELLS FARGO CLEARING SERVICES, LLC
December 1, 1998 - January 26, 2001
UBS 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.
