Brett C. Finney
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.
Brett C Finney, CFP® was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 2006. Brett had worked at 8 firms and has passed the Series 66, 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
January 8, 2015 - May 6, 2019
AVANTAX ADVISORY SERVICES
January 8, 2015 - May 6, 2019
AVANTAX INVESTMENT SERVICES, INC.
March 25, 2011 - October 29, 2014
USAA FINANCIAL PLANNING SERVICES
March 25, 2011 - October 29, 2014
USAA FINANCIAL ADVISORS, INC.
October 6, 2009 - March 16, 2011
CHASE INVESTMENT SERVICES CORP.
October 6, 2009 - March 16, 2011
CHASE INVESTMENT SERVICES CORP.
August 16, 2007 - January 12, 2009
TD AMERITRADE, INC.
August 16, 2007 - January 12, 2009
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 24, 2007 - January 12, 2009
TD AMERITRADE, INC.
April 26, 2006 - June 29, 2007
FIDELITY BROKERAGE 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.
