Anish S. Rathod

ASSETGUARD FINANCIAL SERVICES

Smyrna, GA

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CRD#: 6132321

Professional summary

Anish S Rathod, who also goes by Anish S Rathod, Anish Rathod, is a registered financial advisor currently at ASSETGUARD FINANCIAL SERVICES INC located in Smyrna, Georgia.

Anish is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Anish has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Anish S Rathod | Anish Rathod

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Assetguard Financial Services Inc~ 4224 Mill Grove Ln SW Smyrna,GA 30082, Accounting Services/Tax Preparation. Employee~2/15/2016~160hrs~130hrs. I do tax consultation and payroll for business clients and assist individuals with their tax returns. This is investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anish S Rathod's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 7, 2023 - Present

ASSETGUARD FINANCIAL SERVICES INC

RIA

CRD#: 305747

Smyrna, GA

Past

December 3, 2019 - December 19, 2022

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Smyrna, GA

Past

November 21, 2019 - December 19, 2022

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Smyrna, GA

Past

February 24, 2016 - December 31, 2017

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

BOWLING GREEN, KY

Past

August 14, 2015 - February 26, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Miami, FL

Past

October 29, 2014 - August 14, 2015

JHS CAPITAL ADVISORS, LLC

CRD#: 112097

MIAMI, FL

Past

April 3, 2013 - May 22, 2013

JHS CAPITAL ADVISORS, LLC

CRD#: 112097

MIAMI, FL

Past

January 11, 2013 - March 22, 2013

NSM SECURITIES, INC.

CRD#: 134357

WEST PALM BEACH, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Georgia
(9/7/2023)

IAR

Kentucky
(11/18/2024)

IAR

Tennessee
(11/13/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/2/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/25/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/10/2013

General Securities Representative Examination

Current Firm

ASSETGUARD FINANCIAL SERVICES INC

CRD#: 305747 / SEC#:

Georgia

Registered Investment Advisory firm - (9/7/2023 Approved)

Kentucky

Registered Investment Advisory firm - (11/18/2024 Approved)

Tennessee

Registered Investment Advisory firm - (11/8/2023 Approved)

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Contact information

Main Address

Smyrna, GA

Mailing Address

Phone number

(224) 715-5970

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	29
AUM (Assets Under Management)	$ 684,000

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.

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Advisor Monitoring

Firm Stability Insights

Anish S. Rathod

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anish S Rathod's CRS (Customer Relationship Summary).

Certified licenses

Experience

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

AVANTAX INVESTMENT SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

JHS CAPITAL ADVISORS, LLC

JHS CAPITAL ADVISORS, LLC

NSM SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/2/2019

Series 63

Date: 1/25/2013

SIE

Date: 12/31/2017

Series 7

Date: 1/10/2013

Current Firm

ASSETGUARD FINANCIAL SERVICES INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ASSETGUARD FINANCIAL SERVICES INC

TRUST BUT VERIFY

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