Rexford A. Maffey
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.
Rexford Austin Maffey JR, who also goes by Rexford Austin Maffey, was a registered financial professional .
Rexford is a previously registered financial professional and started their career in finance in 1995. Rexford had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2010 - November 13, 2017
AVANTAX ADVISORY SERVICES
November 12, 2009 - November 13, 2017
AVANTAX INVESTMENT SERVICES, INC.
June 1, 2004 - October 20, 2009
CETERA INVESTMENT SERVICES LLC
May 10, 2000 - October 20, 2009
CETERA INVESTMENT SERVICES LLC
September 7, 1999 - May 10, 2000
GUARANTY BROKERAGE SERVICES, INC.
July 12, 1999 - July 27, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 24, 1997 - July 12, 1999
BA INVESTMENT SERVICES, INC.
March 7, 1997 - August 20, 1997
ESSEX NATIONAL SECURITIES, LLC
September 8, 1995 - December 11, 1996
MORGAN STANLEY DW 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.
