Rebecca W. Huffman
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.
Rebecca Ware Huffman, who also goes by Rebecca Billie Ware, Rebecca E Ware, Rebecca Ware, was a registered financial professional .
Rebecca is a previously registered financial professional and started their career in finance in 2003. Rebecca had worked at 6 firms and has passed the Series 66, 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
January 26, 2018 - December 8, 2020
AVANTAX ADVISORY SERVICES
January 26, 2018 - December 8, 2020
AVANTAX INVESTMENT SERVICES, INC.
February 10, 2009 - July 7, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 10, 2008 - July 7, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 24, 2006 - April 9, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 5, 2004 - June 7, 2005
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
July 21, 2003 - October 2, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
April 3, 2003 - October 2, 2003
IDS LIFE INSURANCE COMPANY
April 3, 2003 - October 2, 2003
AMERIPRISE 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.
