Robert P. Sowden
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.
Robert Paul Sowden, who also goes by Robert Paul Sowden, Robert P Sowden, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 13 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 3, 2021 - December 22, 2023
AVANTAX ADVISORY SERVICES
October 28, 2021 - December 22, 2023
AVANTAX INVESTMENT SERVICES, INC.
September 14, 2017 - November 6, 2019
ALLSTATE FINANCIAL ADVISORS, LLC
August 31, 2017 - November 6, 2019
ALLSTATE FINANCIAL SERVICES, LLC
May 2, 2017 - September 1, 2017
AVANTAX ADVISORY SERVICES
April 29, 2017 - September 1, 2017
AVANTAX INVESTMENT SERVICES, INC.
August 13, 2014 - June 10, 2015
IBN FINANCIAL SERVICES, INC.
August 7, 2014 - June 10, 2015
IBN FINANCIAL SERVICES, INC.
January 7, 2010 - October 18, 2012
LEIGH BALDWIN & CO., LLC
November 14, 2008 - November 17, 2009
INVESTMENT ADVISORS INTERNATIONAL, INC.
October 3, 2008 - November 17, 2009
WORLD GROUP SECURITIES, INC.
May 13, 2004 - June 4, 2004
OMNI BROKERAGE, INC.
January 7, 2004 - October 17, 2006
WORLD INVESTMENTS, LLC
November 8, 2002 - January 9, 2004
PFS INVESTMENTS INC.
February 4, 1996 - October 14, 2002
CETERA INVESTMENT SERVICES LLC
December 13, 1993 - January 15, 1996
NATIONSSECURITIES
April 13, 1993 - December 20, 1993
AVANTAX INVESTMENT SERVICES, 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.
