Kiran R. Lalani
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.
Kiran Ramzanali Lalani, who also goes by Kiran Lalani, Kiran Ramzanali Lalani-huss, Kiran Ramzanali Lalani-hussain, Kiran Lalani-hussain, was a registered financial professional .
Kiran is a previously registered financial professional and started their career in finance in 2005. Kiran had worked at 8 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
December 1, 2015 - January 7, 2016
AVANTAX ADVISORY SERVICES
November 25, 2015 - January 7, 2016
AVANTAX INVESTMENT SERVICES, INC.
January 9, 2012 - December 10, 2013
EDWARD JONES
January 9, 2012 - December 10, 2013
EDWARD JONES
March 1, 2011 - December 19, 2011
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 1, 2011 - October 5, 2011
AVANTAX INVESTMENT SERVICES, INC.
March 1, 2011 - December 19, 2011
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 28, 2008 - December 19, 2011
WELLS FARGO CLEARING SERVICES, LLC
October 28, 2008 - December 19, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - August 28, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - August 28, 2008
WELLS FARGO CLEARING SERVICES, LLC
September 20, 2006 - January 1, 2008
A. G. EDWARDS & SONS, INC.
September 20, 2006 - January 3, 2008
A. G. EDWARDS & SONS, INC.
January 20, 2006 - September 5, 2006
CREDIT SUISSE SECURITIES (USA) LLC
January 20, 2006 - September 5, 2006
CREDIT SUISSE SECURITIES (USA) LLC
September 27, 2005 - January 13, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 9, 2005 - January 13, 2006
BANC OF AMERICA INVESTMENT SERVICES, 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 |
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.
