Raymond Kasperowicz
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.
Raymond Kasperowicz was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 2000. Raymond had worked at 6 firms and has passed the Series 63, Series 65, 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
March 27, 2006 - July 19, 2021
AVANTAX ADVISORY SERVICES
January 31, 2006 - July 19, 2021
AVANTAX INVESTMENT SERVICES, INC.
October 31, 2005 - December 31, 2005
OSAIC SERVICES, INC.
November 28, 2001 - October 31, 2005
SUNAMERICA SECURITIES, INC.
April 22, 2000 - December 31, 2005
U.S. FINANCIAL ADVISORS
February 23, 2000 - November 30, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
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.
