Christy K. Kotewa
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.
Christy Kae Kotewa, who also goes by Christy Kotewa, Christy Kae Selbrade, Christy Kae Warriner, was a registered financial professional .
Christy is a previously registered financial professional and started their career in finance in 2014. Christy had worked at 3 firms and has passed the Series 66, Series 7TO, 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
November 29, 2018 - April 29, 2020
AVANTAX PLANNING PARTNERS, INC.
November 27, 2018 - April 28, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 26, 2018 - November 30, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 12, 2015 - December 20, 2016
EDWARD JONES
December 23, 2014 - December 20, 2016
EDWARD JONES
Primary Firm SEC Registration
AVANTAX PLANNING PARTNERS, INC.
CRD#: 106237 / SEC#: 801-50939
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
Series 7TO
Date: 2/5/2024
General Securities Representative ExaminationCurrent Firm
AVANTAX PLANNING PARTNERS, INC.
CRD#: 106237 / SEC#: 801-50939
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 13,679 |
| AUM (Assets Under Management) | $ 6,933,162,284 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/20/2024 | ||
| 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.
