Carol A. Simmons
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.
Carol Ann Simmons, who also goes by Carol A Burns, Carol Ann Mancinelli, Carol Simmons, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 2014. Carol had worked at 3 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
June 29, 2018 - January 22, 2021
AVANTAX ADVISORY SERVICES
June 29, 2018 - January 22, 2021
AVANTAX INVESTMENT SERVICES, INC.
October 28, 2016 - February 23, 2018
AVANTAX ADVISORY SERVICES
October 28, 2016 - February 23, 2018
AVANTAX INVESTMENT SERVICES, INC.
January 14, 2015 - November 23, 2016
OSAIC FS, INC.
September 30, 2014 - November 23, 2016
OSAIC FS, INC.
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.
