Kathleen Pavlosky
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.
Kathleen Pavlosky, who also goes by Kathleen Heath, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 2000. Kathleen had worked at 4 firms and has passed the Series 65, Series 63, SIE 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
April 23, 2010 - April 20, 2018
AVANTAX ADVISORY SERVICES
July 27, 2009 - April 20, 2018
AVANTAX INVESTMENT SERVICES, INC.
June 20, 2008 - August 13, 2009
AMERIPRISE ADVISOR SERVICES, INC.
October 8, 2001 - August 13, 2009
AMERIPRISE ADVISOR SERVICES, INC.
November 9, 2000 - October 9, 2001
BIRCHTREE FINANCIAL 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.
