Shane R. Grathwohl
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.
Shane Robert Grathwohl, who also goes by Shane R Grathwohl, Shane Roberts, Tim Rush, was a registered financial professional .
Shane is a previously registered financial professional and started their career in finance in 2009. Shane 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
April 27, 2012 - October 20, 2014
AVANTAX ADVISORY SERVICES
April 3, 2012 - October 20, 2014
AVANTAX INVESTMENT SERVICES, INC.
April 6, 2011 - May 4, 2011
SOUTHEAST INVESTMENTS, N.C., INC.
April 1, 2011 - May 4, 2011
SOUTHEAST INVESTMENTS, N.C., INC.
July 14, 2009 - January 25, 2011
ECHOTRADE 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 |
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.
