Arnold F. Feldman
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.
Arnold Frank Feldman, who also goes by Af Feldman, Arnie Feldman, Arnold F Feldman, Arnold Feldman Feldman, Arnold Feldman, was a registered financial professional .
Arnold is a previously registered financial professional and started their career in finance in 2002. Arnold had worked at 5 firms and has passed the Series 65, Series 63, 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
October 23, 2024 - November 13, 2024
AVANTAX ADVISORY SERVICES
October 23, 2024 - November 13, 2024
AVANTAX INVESTMENT SERVICES, INC.
September 2, 2016 - October 11, 2024
LPL FINANCIAL LLC
August 31, 2016 - October 11, 2024
LPL FINANCIAL LLC
May 20, 2011 - September 2, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 4, 2011 - September 2, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 2002 - February 17, 2011
DAVID LERNER ASSOCIATES, INC.
State Registrations and Notice Filings
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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.
