William J. Dowdell
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.
William Joseph Dowdell was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 9 firms and has passed the Series 63, Series 7, Series 22, Series 6 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
Experience
July 25, 1997 - September 30, 1999
AVANTAX INVESTMENT SERVICES, INC.
October 15, 1996 - May 19, 1997
IDS LIFE INSURANCE COMPANY
October 15, 1996 - May 19, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
August 16, 1995 - September 23, 1996
FSC SECURITIES CORPORATION
October 6, 1994 - August 16, 1995
CORPORATE BENEFIT SECURITIES, INC.
December 9, 1993 - April 10, 1995
BUTTONWOOD SECURITIES, INC.
November 18, 1988 - November 21, 1989
CAMBIO SECURITIES CORPORATION
January 27, 1984 - November 4, 1988
TITAN/VALUE EQUITIES GROUP, INC.
October 27, 1983 - February 10, 1984
WADDELL & REED
January 12, 1983 - October 18, 1983
TITAN/VALUE EQUITIES GROUP, 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.
