Karin E. Moser
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.
Karin Elizabeth Moser, CFP®, who also goes by Karin Elizabeth Ballard, was a registered financial professional .
Karin is a previously registered financial professional and started their career in finance in 1996. Karin had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2012 - October 26, 2016
AVANTAX ADVISORY SERVICES
December 5, 2012 - October 26, 2016
AVANTAX INVESTMENT SERVICES, INC.
October 6, 2006 - November 18, 2011
FINESTONE PARTNERS
June 18, 2001 - December 21, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 19, 2000 - February 23, 2001
J.P. MORGAN SECURITIES INC.
March 9, 1999 - May 26, 2000
SECURITIES SERVICE NETWORK, LLC
May 28, 1996 - February 22, 1999
IFG NETWORK SECURITIES, 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.
