Jun Watanabe
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.
Jun Watanabe was a registered financial professional .
Jun is a previously registered financial professional and started their career in finance in 1999. Jun had worked at 6 firms and has passed the Series 66, 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
February 14, 2020 - December 31, 2022
AVANTAX ADVISORY SERVICES
September 21, 2009 - December 31, 2022
AVANTAX INVESTMENT SERVICES, INC.
February 3, 2009 - September 25, 2009
QUEST CAPITAL STRATEGIES, INC.
January 4, 2006 - February 27, 2007
AMERIPRISE ADVISOR SERVICES, INC.
January 23, 2004 - December 31, 2005
WESTERN INTERNATIONAL SECURITIES, INC.
September 29, 2000 - October 17, 2002
WESTERN INTERNATIONAL SECURITIES, INC.
January 21, 2000 - September 28, 2000
GLOBAL CAPITAL MARKETS, LLC
April 23, 1999 - December 17, 1999
QUEST CAPITAL STRATEGIES, 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.
