Troy Marsden
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.
Troy Marsden, who also goes by Troy David Marsden, was a registered financial professional .
Troy is a previously registered financial professional and started their career in finance in 2000. Troy had worked at 12 firms and has passed the Series 66, Series 63, SIE, 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
February 7, 2018 - February 9, 2018
AVANTAX ADVISORY SERVICES
February 7, 2018 - February 9, 2018
AVANTAX INVESTMENT SERVICES, INC.
December 8, 2016 - November 30, 2017
MOMENTUM INDEPENDENT NETWORK INC.
December 8, 2016 - November 30, 2017
HILLTOP SECURITIES INC.
December 7, 2016 - November 30, 2017
MOMENTUM INDEPENDENT NETWORK INC.
December 7, 2016 - November 30, 2017
HILLTOP SECURITIES INC.
November 24, 2015 - May 5, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 9, 2015 - May 5, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 22, 2014 - March 9, 2015
BESSEMER INVESTOR SERVICES, INC.
August 7, 2006 - March 28, 2007
FIDELITY PERSONAL TRUST COMPANY, FSB
November 10, 2005 - September 18, 2014
STRATEGIC ADVISERS LLC
April 26, 2001 - September 16, 2014
FIDELITY BROKERAGE SERVICES LLC
July 31, 2000 - March 13, 2001
ROBERT W. BAIRD & CO. INCORPORATED
May 10, 2000 - March 13, 2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, 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.
