Emmett E. Stobbs
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.
Emmett Eugene Stobbs JR., who also goes by Emmett Eugene Stobbs, Jay Stobbs, was a registered financial professional .
Emmett is a previously registered financial professional and started their career in finance in 2008. Emmett had worked at 4 firms and has passed the Series 65, Series 63 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
November 29, 2011 - September 17, 2014
AVANTAX ADVISORY SERVICES
July 1, 2010 - September 17, 2014
AVANTAX INVESTMENT SERVICES, INC.
June 22, 2010 - July 6, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
June 9, 2010 - July 6, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
August 14, 2008 - December 31, 2009
L.M. KOHN & COMPANY
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.
