Brendan N. Dolan
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.
Brendan N Dolan, who also goes by Brendan Noel Dolan, was a registered financial professional .
Brendan is a previously registered financial professional and started their career in finance in 1996. Brendan had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2015 - March 28, 2017
AVANTAX ADVISORY SERVICES
February 16, 2015 - March 28, 2017
AVANTAX INVESTMENT SERVICES, INC.
January 22, 2013 - December 26, 2014
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
January 22, 2013 - December 26, 2014
J.P. TURNER & COMPANY, L.L.C.
June 6, 2002 - January 28, 2013
AVANTAX ADVISORY SERVICES
August 1, 1996 - January 28, 2013
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 | ||
| 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.
