Stephen Scialo
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.
Stephen Scialo, who also goes by Stephen Daniel Scialo, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2016. Stephen had worked at 6 firms and has passed the Series 66, SIE, Series 57 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
October 8, 2020 - December 31, 2023
AVANTAX ADVISORY SERVICES
October 8, 2020 - December 31, 2023
AVANTAX INVESTMENT SERVICES, INC.
April 17, 2018 - November 12, 2018
UBS FINANCIAL SERVICES INC.
April 17, 2018 - November 12, 2018
UBS FINANCIAL SERVICES INC.
December 20, 2017 - March 26, 2018
CHIMERA SECURITIES, LLC
March 21, 2017 - November 10, 2017
MORGAN STANLEY
March 21, 2017 - November 10, 2017
MORGAN STANLEY
December 1, 2016 - March 9, 2017
1ST GLOBAL CAPITAL CORP.
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.
