Pramod M. Gupte
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.
Pramod M Gupte was a registered financial professional .
Pramod is a previously registered financial professional and started their career in finance in 2001. Pramod had worked at 6 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
October 25, 2013 - September 11, 2017
AVANTAX ADVISORY SERVICES
October 25, 2013 - September 11, 2017
AVANTAX INVESTMENT SERVICES, INC.
September 29, 2008 - October 31, 2013
CETERA INVESTMENT ADVISERS LLC
September 29, 2008 - October 31, 2013
CETERA FINANCIAL SPECIALISTS LLC
April 24, 2003 - September 8, 2008
MONEY CONCEPTS CAPITAL CORP
July 11, 2002 - September 8, 2008
MONEY CONCEPTS CAPITAL CORP
December 14, 2001 - July 9, 2002
PFS INVESTMENTS INC.
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.
