Edwin L. Taliaferro
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.
Edwin Leroy Taliaferro was a registered financial professional .
Edwin is a previously registered financial professional and started their career in finance in 2008. Edwin had worked at 4 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
May 4, 2017 - April 29, 2019
AVANTAX ADVISORY SERVICES
May 4, 2017 - April 29, 2019
AVANTAX INVESTMENT SERVICES, INC.
January 15, 2015 - March 17, 2016
AVANTAX ADVISORY SERVICES
December 24, 2014 - March 17, 2016
AVANTAX INVESTMENT SERVICES, INC.
January 10, 2011 - February 21, 2013
AVANTAX INVESTMENT SERVICES, INC.
December 17, 2010 - February 21, 2013
AVANTAX ADVISORY SERVICES
December 18, 2009 - November 16, 2010
WESTFIELD WEALTH MANAGEMENT, LLC
February 19, 2008 - December 31, 2008
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
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.
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