Mandy L. Ischy
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.
Mandy Lynaye Ischy, who also goes by Mandy Lynaye Haring, Mandy Lynaye Holm, Mandy Lynaye Powell, was a registered financial professional .
Mandy is a previously registered financial professional and started their career in finance in 2006. Mandy had worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, 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 25, 2019 - May 13, 2021
AVANTAX ADVISORY SERVICES
October 25, 2019 - May 10, 2021
AVANTAX INVESTMENT SERVICES, INC.
January 6, 2017 - October 25, 2019
1ST GLOBAL ADVISORS INC
December 23, 2013 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
October 30, 2012 - March 11, 2013
LPL FINANCIAL LLC
February 13, 2008 - November 15, 2010
RAYMOND JAMES & ASSOCIATES, INC.
January 1, 2008 - February 12, 2008
WELLS FARGO CLEARING SERVICES, LLC
September 7, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
July 21, 2006 - August 10, 2007
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
March 2, 2006 - June 26, 2006
WELLS FARGO INVESTMENTS, 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
Series 7TO
Date: 3/30/2024
General Securities Representative ExaminationCurrent 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.
