Barak TanzerCRD Number: 1212885
Current Firm: Kms Financial Services, Inc.
Barak Tanzer (CRD# 1212885) is an Investment Advisor Representative working at Kms Financial Services, Inc. in Scottsdale, AZ and has over 28 years of experience in the finance industry.
Householder Group Estate & Retirement Specialists
Woodbury Financial Services, Inc.
Triad Advisors, Inc.
|B. Tanzer Investments, LLC||Portland, OR||Mar 2004 - Current||12|
|Kms Financial Services, Inc.||Seattle, WA||Mar 1998 - Current||18|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1988|
|S66||NASAA Uniform Combined State Law Examination||Apr 2003|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management5,174MILLIONS
Total Number of Accounts24,587ACCOUNTS
Average Account Value$210,434
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Market timing services
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV