Faheem J. Raoof
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.
Faheem Jamal Raoof, who also goes by Bryant Townsend, was a registered financial professional .
Faheem is a previously registered financial professional and started their career in finance in 1982. Faheem had worked at 8 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2008 - February 1, 2018
AVANTAX INVESTMENT SERVICES, INC.
May 20, 2005 - December 31, 2006
WORLD INVESTMENTS, LLC
May 20, 2005 - December 31, 2006
WORLD INVESTMENTS, LLC
September 28, 2004 - March 3, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 28, 2004 - March 3, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 2, 2002 - May 13, 2004
AVANTAX ADVISORY SERVICES
November 14, 1991 - March 23, 2004
AVANTAX INVESTMENT SERVICES, INC.
September 27, 1988 - June 19, 1991
VFS SECURITIES CORP.
March 3, 1987 - August 2, 1988
COMMONWEALTH FINANCIAL NETWORK
May 10, 1984 - December 17, 1986
MUTUAL SERVICE CORPORATION
September 2, 1982 - June 9, 1983
FORESTERS FINANCIAL SERVICES, 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 (7 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.
