Helmut Rigg
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.
Helmut Rigg, who also goes by Howard Rigg, was a registered financial professional .
Helmut is a previously registered financial professional and started their career in finance in 1992. Helmut had worked at 8 firms and has passed the Series 65, Series 63, 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
June 27, 2017 - June 15, 2018
AVANTAX ADVISORY SERVICES
June 27, 2017 - June 15, 2018
AVANTAX INVESTMENT SERVICES, INC.
April 16, 2012 - June 28, 2017
FORESTERS EQUITY SERVICES, INC.
February 15, 2011 - June 28, 2017
FORESTERS EQUITY SERVICES, INC.
August 3, 2005 - February 3, 2011
ON INVESTMENT MANAGEMENT CO
June 15, 2004 - February 3, 2011
THE O.N. EQUITY SALES COMPANY
December 23, 1998 - July 10, 2002
LOCUST STREET SECURITIES, INC.
May 21, 1992 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 21, 1992 - December 9, 1998
SIGNATOR INVESTORS, 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 |
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.
