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Paul L. Gubin

Some features on this profile are disabled
CRD#: 6204258
PG

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.

Paul Lee Gubin, who also goes by Paul Gubin, was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 2013. Paul had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Paul Gubin

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.
1) Avantax Insurance Agency, LLC Scottsdale AZ Equity Indexed Annuity Agent 10/14/2019 20hrs~20hrs I may have the ability to sell any, or all of the following products: variable annuities, fixed annuities, any/all types of index annuities, variable insurance (e.g. VUL/VIL). 2) DKS FINANCIAL STRATEGIES POSITION: Advisor NATURE: This is a DBA for Emerald Tax and Financial Services, Inc. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/06/2021 ADDRESS: 7125 E. Shea Blvd, Suite 103, Scottsdale AZ 85254, United States DESCRIPTION: DBA for Avantax business 3) EMERALD TAX AND FINANCIAL SERVICES, INC.; POSITION: Employee NATURE: Accounting Services/Tax Preparation, Medicare Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 08/01/2011 ADDRESS: 7125 E Shea Blvd, Ste. 103, Scottsdale AZ 85254, United States DESCRIPTION: Assisting tax clients in identifying opportunities tax efficient. I also provide Medicare insurance services working with various health insurance companies 4) DBA POSITION: N/A NATURE: I am an employee of Emerald Tax & Financial Services, Inc., which operates H&R Block tax offices under a franchise license agreement with H&R Block. Emerald Tax & Financial Services, Inc. does business as H&R Block. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/05/2019 ADDRESS: 7125 E Shea Blvd, Ste 103, Scottsdale AZ 85254, United States DESCRIPTION: I am an employee of the entity that does business as H&R Block. I prepare tax returns for individuals and businesses.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 6, 2019 - May 20, 2022

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
Scottsdale, AZ
Past

November 5, 2019 - May 20, 2022

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
Scottsdale, AZ
Past

March 25, 2017 - November 6, 2019

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
SCOTTSDALE, AZ
Past

March 25, 2017 - November 6, 2019

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SCOTTSDALE, AZ
Past

June 1, 2016 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
TEMPE, AZ
Past

May 6, 2016 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
TEMPE, AZ
Past

November 4, 2014 - May 10, 2016

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
SCOTTSDALE, AZ
Past

August 19, 2013 - May 10, 2016

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
SCOTTSDALE, AZ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/30/2014
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/20/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/24/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/17/2013
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AA
AVANTAX ADVISORY SERVICES
1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES

CRD#: 104556 / SEC#: 801-29892

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Contact information

Main Address
3200 Olympus Blvd Suite 100, Dallas, TX 75019
Mailing Address
Phone number
(972) 870-6000
Established
Firm type
Fiscal year end
# of Employees
2,278

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/31/2025)
AAS ADV PART 2A APPENDIX WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts140,306
AUM (Assets Under Management)$ 46,109,939,749

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/13/2024
Cover Page
Report
11/28/2023
Cover Page
Report
12/16/2022
Cover Page
Report

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.

Company Information

AVANTAX ADVISORY SERVICES

CRD#: 104556

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