Deirdre A. Hodosy
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.
Deirdre Ann Hodosy, CFP® was a registered financial professional .
Deirdre is a previously registered financial professional and started their career in finance in 1981. Deirdre had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1991
Experience
October 4, 2006 - November 29, 2018
AVANTAX INVESTMENT SERVICES, INC.
January 4, 2000 - September 13, 2006
CANTELLA & CO., INC.
September 11, 1995 - December 31, 1999
ILICOB SALES CORPORATION
January 25, 1991 - October 5, 1993
S.C. PARKER & CO., INC.
August 16, 1990 - October 18, 1990
BISON SECURITIES, INCORPORATED
September 14, 1987 - September 28, 1988
ADVANTAGE CAPITAL CORPORATION
September 5, 1985 - November 5, 1985
AMERICAN HERITAGE SECURITIES CORPORATION
May 24, 1985 - August 14, 1985
WESTMORELAND CAPITAL CORPORATION
June 24, 1983 - February 25, 1985
KIDDER, PEABODY & CO. INCORPORATED
November 27, 1981 - July 5, 1983
E. F. HUTTON & COMPANY INC
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 INVESTMENT SERVICES, INC.
CRD#: 13686 / SEC#: , 8-29533
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVANTAX WEALTH MANAGEMENT, INC. | SOLE SHAREHOLDER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | GENERAL COUNSEL, SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | PRINCIPAL OPERATIONS OFFICER | 1572778 |
| MACKAY, TODD CHRISTOPHER | DIRECTOR AND VICE PRESIDENT | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER | 5769181 |
| NEARY, JOSEPH DANIEL | DIRECTOR AND VICE PRESIDENT | 2993505 |
| WATTS, ANDREW DAVID | PRESIDENT | 4780880 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 4 |
| Bond | 1 |
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.
