Kevin W. Neumann
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.
Kevin William Neumann, who also goes by Kevin W Neumann, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2008. Kevin had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2020 - September 8, 2020
AVANTAX ADVISORY SERVICES
February 24, 2020 - September 8, 2020
AVANTAX INVESTMENT SERVICES, INC.
May 14, 2018 - February 21, 2020
CETERA INVESTMENT ADVISERS LLC
May 14, 2018 - February 21, 2020
CETERA FINANCIAL SPECIALISTS LLC
May 28, 2015 - April 28, 2017
PNC WEALTH MANAGEMENT LLC
May 28, 2015 - April 28, 2017
PNC WEALTH MANAGEMENT LLC
October 1, 2012 - February 20, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - February 20, 2014
J.P. MORGAN SECURITIES LLC
May 1, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 8, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
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.
