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Michael Peter Faneca

CRD# 6210355·Registered 2013 - 2024
Previously Registered: Being a previously registered professional could mean that Michael 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.

Professional Summary

Michael Peter Faneca, who also goes by Michael P Faneca, was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 2013 - 2024. Michael had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Michael P Faneca

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

13 years in the financial services industry

Current & Past Employments

AVANTAX ADVISORY SERVICES·CRD# 104556
RIA
Biloxi, MS
October 1, 2019 - October 24, 2024
AVANTAX INVESTMENT SERVICES, INC.·CRD# 13686
BD
Gulfport, MS
December 27, 2018 - October 24, 2024
NYLIFE SECURITIES LLC·CRD# 5167
BD
Gulfport, MS
October 16, 2013 - August 11, 2017

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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

Contact Information

Main Address

3200 Olympus Blvd Suite 100, Dallas, TX 75019

Phone Number

(972) 870-6000

# of Employees

2,278

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/31/2025)

Regulatory Assets Under Management

Total Number of Accounts

140,306

AUM (Assets Under Management)

$46,109,939,749

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
12/13/2024Cover PageReport
11/28/2023Cover PageReport

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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~'IR'~Biloxi, MS~Equity Indexed Annuity~Agent~1/3/2019~20hrs~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) AARP~'NIR'~601 E Street, NW~Washington~DC~20049~Other~Other~12/27/2018~6hrs~6hrs~Book locations and handle registrations, teach 4-hour course and issue certificates of completion 3) TAX DEFENSE NETWORK POSITION: Tax Resolution Network Partner NATURE: I will take cases to assist taxpayers with tax resolution as a referral network partner for Tax Defense Network. I will use a remote desktop hosted by them to access their database and resources and to make updates to the case notes. INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 04/19/2022 ADDRESS: 20006 MS 53, SUITE A, GULFPORT MS 39503, United States DESCRIPTION: Communicate with clients and the IRS or state entity to bring their case to a resolution. As an independent contractor I can choose how much work to take on depending on how much time I have.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Sep 2019About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 2014About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Aug 2017About the SIE exam

Series 7 — General Securities Representative Examination

Passed Feb 2016About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Oct 2013About the Series 6 exam

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CRS (Client Relationship Summary)

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

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