Troy D. Dunkel
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.
Troy D Dunkel, who also goes by Troy Dean Dunkel, Froy Dunkel, Td Dunkel, was a registered financial professional .
Troy is a previously registered financial professional and started their career in finance in 2010. Troy had worked at 5 firms and has passed the Series 66, SIE, Series 3 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
January 24, 2020 - December 19, 2022
AVANTAX ADVISORY SERVICES
January 22, 2020 - December 19, 2022
AVANTAX INVESTMENT SERVICES, INC.
August 1, 2016 - January 14, 2020
INDEPENDENT FINANCIAL GROUP, LLC
August 1, 2016 - January 14, 2020
INDEPENDENT FINANCIAL GROUP, LLC
February 14, 2011 - October 20, 2015
PIMCO INVESTMENTS LLC
September 28, 2010 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS 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 | ||
| 12/16/2022 |
Red Flags
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