Gordon A. Guy
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.
Gordon Arthur Guy was a registered financial professional .
Gordon is a previously registered financial professional and started their career in finance in 1983. Gordon had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 3, 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
Experience
December 11, 2014 - December 31, 2016
AVANTAX INVESTMENT SERVICES, INC.
October 21, 2004 - December 31, 2014
THE O.N. EQUITY SALES COMPANY
September 24, 2002 - October 21, 2004
AURA FINANCIAL SERVICES, INC.
April 19, 2002 - September 23, 2002
INVESTACORP, INC.
January 5, 2001 - April 23, 2002
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 24, 1999 - January 4, 2001
MOMENTUM INDEPENDENT NETWORK INC.
December 24, 1991 - November 19, 1999
SUNPOINT SECURITIES, INC.
October 29, 1991 - November 20, 1991
SUNPOINT SECURITIES, INC.
June 12, 1991 - November 4, 1991
FSC SECURITIES CORPORATION
December 21, 1989 - October 22, 1992
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
February 16, 1989 - December 21, 1989
BRIDGEROCK SECURITIES, INC.
July 12, 1988 - January 28, 1989
AMERICAN INVESTORS GROUP, INC.
July 18, 1986 - July 18, 1988
INVESTMENT BROKERS OF AMERICA
August 30, 1985 - July 28, 1986
FSC SECURITIES CORPORATION
September 6, 1983 - September 9, 1985
ADVANTAGE CAPITAL CORPORATION
May 31, 1983 - September 19, 1983
WZW 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.
