Shant Shahverdian
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.
Shant Shahverdian, who also goes by Sean Shahverdian, was a registered financial professional .
Shant is a previously registered financial professional and started their career in finance in 2009. Shant had worked at 6 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
July 7, 2015 - October 24, 2016
AVANTAX ADVISORY SERVICES
June 8, 2015 - October 24, 2016
AVANTAX INVESTMENT SERVICES, INC.
November 15, 2012 - July 22, 2013
HARRISDIRECT LLC
November 15, 2012 - July 22, 2013
E*TRADE SECURITIES LLC
October 12, 2010 - December 21, 2011
CHASE INVESTMENT SERVICES CORP.
October 12, 2010 - December 21, 2011
CHASE INVESTMENT SERVICES CORP.
September 8, 2009 - September 27, 2010
EDWARD JONES
August 21, 2009 - September 27, 2010
EDWARD JONES
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.
