Moses M. Simonet
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.
Moses Marquez Simonet, who also goes by Moses Blakely, Moses Henderson, Moses Marquez, Peter Valdivia, was a registered financial professional .
Moses is a previously registered financial professional and started their career in finance in 2002. Moses had worked at 3 firms and has passed the Series 66, 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
July 18, 2016 - September 27, 2017
AVANTAX ADVISORY SERVICES
July 18, 2016 - September 27, 2017
AVANTAX INVESTMENT SERVICES, INC.
October 6, 2011 - September 3, 2015
AVANTAX ADVISORY SERVICES
October 5, 2011 - September 3, 2015
AVANTAX INVESTMENT SERVICES, INC.
July 28, 2008 - September 24, 2009
AVANTAX INVESTMENT SERVICES, INC.
February 28, 2005 - July 6, 2006
AVANTAX ADVISORY SERVICES
November 14, 2002 - June 28, 2006
AVANTAX INVESTMENT SERVICES, INC.
August 23, 2002 - October 21, 2002
WADDELL & REED
August 8, 2002 - October 21, 2002
WADDELL & REED
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.
