Cedric V. Alexander
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.
Cedric Von Alexander, CFP®, who also goes by Himaya Mustafa, was a registered financial professional .
Cedric is a previously registered financial professional and started their career in finance in 1983. Cedric had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2019 - June 19, 2023
AVANTAX INVESTMENT SERVICES, INC.
November 7, 2019 - June 19, 2023
AVANTAX ADVISORY SERVICES
June 29, 2009 - May 21, 2018
AVANTAX ADVISORY SERVICES
June 29, 2009 - May 21, 2018
AVANTAX INVESTMENT SERVICES, INC.
July 28, 2006 - November 13, 2007
QUESTAR ASSET MANAGEMENT, INC.
May 23, 2006 - November 13, 2007
QUESTAR CAPITAL CORPORATION
November 22, 2004 - December 31, 2005
1717 CAPITAL MANAGEMENT COMPANY
October 28, 2004 - December 31, 2005
1717 CAPITAL MANAGEMENT COMPANY
January 28, 1999 - July 23, 2003
ROBERT VAN SECURITIES, INC.
August 13, 1998 - January 22, 1999
WADDELL & REED
April 16, 1998 - July 27, 1998
AVANTAX INVESTMENT SERVICES, INC.
June 12, 1995 - May 2, 1997
IDS LIFE INSURANCE COMPANY
June 12, 1995 - May 2, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
October 8, 1992 - November 13, 1993
IDS LIFE INSURANCE COMPANY
October 8, 1992 - November 13, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
September 17, 1991 - July 31, 1992
IDS LIFE INSURANCE COMPANY
September 17, 1991 - July 31, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
August 19, 1983 - August 12, 1991
PFS INVESTMENTS 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.
