Frank J. Avitia
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.
Frank J Avitia, who also goes by Frank Javier Avitia, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 2000. Frank had worked at 11 firms and has passed the Series 65, Series 63, Series 7 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
March 21, 2013 - October 8, 2014
NOVA FINANCIAL SERVICES
February 7, 2013 - December 4, 2013
MUTUAL SECURITIES, INC.
July 11, 2012 - March 4, 2013
VERUS CAPITAL PARTNERS, LLC
May 3, 2012 - February 14, 2013
SECURITIES AMERICA, INC.
March 23, 2012 - April 24, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 22, 2012 - April 24, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 27, 2010 - March 19, 2012
VERUS CAPITAL PARTNERS, LLC
July 26, 2010 - August 27, 2010
SECURITIES AMERICA ADVISORS, INC.
July 1, 2010 - March 1, 2012
SECURITIES AMERICA, INC.
July 25, 2008 - July 6, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 25, 2008 - July 6, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 19, 2004 - August 6, 2008
WELLS FARGO INVESTMENTS, LLC
August 8, 2003 - August 6, 2008
WELLS FARGO INVESTMENTS, LLC
September 20, 2001 - September 4, 2003
AMERIPRISE ADVISOR SERVICES, INC.
December 20, 2000 - September 20, 2001
IDS LIFE INSURANCE COMPANY
December 20, 2000 - September 20, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
February 2, 2000 - December 4, 2000
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
NOVA FINANCIAL SERVICES
CRD#: 150148 / SEC#: 801-79612
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
NOVA FINANCIAL SERVICES
CRD#: 150148 / SEC#: 801-79612
Contact information
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,354 |
| AUM (Assets Under Management) | $ 391,234,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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