TA
Tenita J. Abraham
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CRD#: 4205336
TA
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.
Tenita Joi Abraham was a registered financial professional .
Tenita is a previously registered financial professional and started their career in finance in 2000. Tenita had worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) BUILDING LEGACIES COMMUNITY DEVELOPMENT CORPORATION; Agent; This organization was founded in honor of my father, Nathaniel Abraham, Sr; Investment related; 20hrs; 0hrs during trading; Started 07/12/2021; 116 E Main St, Ste 201, Rock Hill SC 29730, US; Educating the underserved and providing resources that they may not have access or realize they have access to in order to advance themselves and their surrounding communities. In charge of designing and implementing programs and events on a quarterly basis, and working with small and corporate businesses to provide their resources to help further the goal of the nonprofit. 2) JOI RIDE UNLIMITED, LLC; Member: car rental service through Turo; Not Investment related; 20hrs; 0hrs during trading; Started 10/25/2021; 116 E Main St, Rock Hill SC 29730, US: Management of rentals, pickup and drop off. management of fleet and expenses regarding cars. maintenance, promotions, etc. 3) ABRAHAM UNLIMITED, LLC; President; Not Investment related; 100 hrs; 60 hrs during trading; Started 04/07/2020; ADDRESS: 116 E Main st, Ste 201, Rock Hill SC 29730, US; Assist in the teaching of successfully starting and running an online store through Amazon and ebay. Operate both online stores under the name of Joiful Deals on each site. Duties also include, sourcing inventory online and in stores, hiring, managing, and training of employees to assist in shipping orders; management of inventory and accounting procedures. 4) RETAIL DATA, LLC; Field Representative; Retail Data collects pricing data for their clients; Not investment related; 60 hrs; 0 hrs during trading; Started 04/08/2022; 10048 Charlotte Hwy, Indian Land SC 29707, US; My job consists of going into the store with a device and looking for products to input their current price. My only role will be going into retail stores to look for items and input the information into the device. 5) BUILDING LEGACIES LLC; Sole Member; Business consulting and financial education practices; Not investment related; 40 hrs; 20 hrs during trading; Started 07/29/2020; 116 E Main St, Ste 201, Rock Hill SC 29730, US; Create content to educate existing/potential clients on how to successfully approach their goals in entrepreneurship and financial independence. Host classes on various topics in business management and finance. Create content virtually and through events that features other business owner successes. 6) REMEDY FINANCIAL SERVICES POSITION: Wealth Management Advisor NATURE: Analyze financial and investment information obtained from clients to determine strategies, products and services to help clients meet their financial and investment objectives. Provide financial planning information/education to clients about the purpose and details of financial products, services and strategies. Build and maintain client base, keep client financial and investment plans up-to-date and acquire new clients on an ongoing basisProvide knowledgeable, objective finance & financial planning guidance and customized financial strategies to consumer segments that demand high quality services INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 08/07/2022 ADDRESS: 301 E Woodlawn Road, Ste 1, Charlotte NC 28217, United States DESCRIPTION: Research and analyze investment opportunities, including stocks, bonds, mutual funds, and other financial institutions.Prepare investment proposals, reports, and presentations for clients.Help maintain client records and ensure compliance with regulatory requirements for the office.Respond to client inquiries with excellent customer service.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
August 9, 2022 - June 7, 2024
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Charlotte, NC
Past
August 5, 2022 - June 7, 2024
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Charlotte, NC
Past
August 22, 2014 - August 20, 2020
ALIGHT FINANCIAL ADVISORS, LLC
RIA
CRD#: 158744
CHARLOTTE, NC
Past
August 22, 2014 - August 20, 2020
ALIGHT FINANCIAL SOLUTIONS, LLC
BD
CRD#: 36509
CHARLOTTE, NC
Past
March 23, 2012 - July 10, 2014
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CHARLOTTE, NC
Past
February 6, 2012 - July 10, 2014
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
CHARLOTTE, NC
Past
September 26, 2007 - January 30, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
CHARLOTTE, NC
Past
January 18, 2006 - September 10, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
CHARLOTTE, NC
Past
May 21, 2004 - November 3, 2004
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
Past
October 15, 2002 - September 23, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
August 14, 2000 - December 31, 2001
HARRISDIRECT LLC
BD
CRD#: 42159
JERSEY CITY, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
AI
AVANTAX INVESTMENT SERVICES, INC.
1ST GLOBAL | HD VEST INVESTMENT SERVICES | HD VEST | H.D. VEST INVESTMENT SERVICES | H.D. VEST INVESTMENT SECURITIES, INC. | AVANTAX WEALTH MANAGEMENT | AVANTAX INVESTMENT SERVICES, INC. | AVANTAX
CRD#: 13686 / SEC#: , 8-29533
BD
Termination Requested by SEC on 09/26/2025
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Contact information
Main Address
Mailing Address
Phone number
Established
Texas since 04/13/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVANTAX WEALTH MANAGEMENT, INC. | SOLE SHAREHOLDER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | GENERAL COUNSEL, SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | PRINCIPAL OPERATIONS OFFICER | 1572778 |
| MACKAY, TODD CHRISTOPHER | DIRECTOR AND VICE PRESIDENT | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER | 5769181 |
| NEARY, JOSEPH DANIEL | DIRECTOR AND VICE PRESIDENT | 2993505 |
| WATTS, ANDREW DAVID | PRESIDENT | 4780880 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 4 |
| Bond | 1 |
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.
