Richard D. Hellmold
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.
Richard Donald Hellmold was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1999. Richard had worked at 4 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
October 25, 2019 - August 25, 2025
AVANTAX ADVISORY SERVICES
October 25, 2019 - August 25, 2025
AVANTAX INVESTMENT SERVICES, INC.
February 12, 2000 - October 25, 2019
1ST GLOBAL ADVISORS INC
September 27, 1999 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
State Registrations and Notice Filings
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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
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