James R. Harrison
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.
James Richard Harrison JR was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1974. James had worked at 10 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2000 - October 14, 2016
AVANTAX ADVISORY SERVICES
April 10, 1996 - October 14, 2016
AVANTAX INVESTMENT SERVICES, INC.
April 19, 1993 - December 31, 1994
VESTAX SECURITIES CORPORATION
April 17, 1989 - April 3, 1992
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
January 18, 1986 - January 25, 1989
NEW ENGLAND SECURITIES
June 19, 1983 - December 10, 1984
AETNA LIFE INSURANCE AND ANNUITY COMPANY
August 11, 1981 - January 27, 1986
GREEN HILL FINANCIAL SERVICE CORPORATION
November 9, 1977 - June 26, 1981
THE GREAT-WEST LIFE ASSURANCE COMPANY
October 14, 1974 - August 2, 1976
HARTFORD EQUITY SALES COMP INC
July 1, 1974 - August 20, 1974
HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY
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
Series 1
Date: 6/22/1974
Registered Representative ExaminationCurrent 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
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