Bernadette T. Princiotta
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.
Bernadette Teresa Princiotta was a registered financial professional .
Bernadette is a previously registered financial professional and started their career in finance in 1984. Bernadette had worked at 10 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 10, Series 9 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
June 14, 2017 - February 14, 2025
AVANTAX INVESTMENT SERVICES, INC.
July 2, 2014 - October 29, 2015
MORGAN STANLEY
June 20, 2014 - October 29, 2015
MORGAN STANLEY
May 10, 2012 - June 5, 2014
UBS FINANCIAL SERVICES INC.
December 1, 2009 - December 7, 2011
PUMA CAPITAL, LLC
March 14, 2001 - May 28, 2008
UBS SECURITIES LLC
April 30, 1999 - August 1, 2007
UBS FINANCIAL SERVICES INC.
January 28, 1998 - May 10, 1999
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
December 21, 1991 - March 8, 1996
ROBERT FLEMING INC.
June 24, 1985 - May 16, 1990
LEHMAN BROTHERS INC.
November 30, 1984 - March 22, 1985
CRALIN & CO., INC.
May 24, 1984 - December 12, 1984
CIBC WORLD MARKETS 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
Series 55
Date: 4/19/2000
Limited Representative-Equity Trader ExamCurrent 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.
