Susan H. Burton
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.
Susan Holman Burton, CFP®, who also goes by Susan Burton Saulter, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1984. Susan had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 53, Series 4 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
October 25, 2019 - December 31, 2019
AVANTAX INVESTMENT SERVICES, INC.
December 21, 2016 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
October 8, 2014 - December 22, 2014
LPL FINANCIAL LLC
June 26, 2012 - October 8, 2012
PARK AVENUE SECURITIES LLC
January 7, 2010 - July 6, 2010
CADARET, GRANT & CO., INC.
July 27, 2004 - February 22, 2008
ALLIANCEBERNSTEIN INVESTMENTS, INC.
November 23, 1994 - July 23, 2004
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
July 19, 1989 - November 2, 1994
AVANTAX INVESTMENT SERVICES, INC.
November 19, 1988 - March 7, 1989
VAN NOSTRAND & BECK INVESTMENTS, INC.
July 11, 1988 - November 22, 1988
T.L. GROUP, INC.
October 21, 1986 - August 1, 1988
PRIVATE BROKERS CORPORATION
October 4, 1984 - November 3, 1986
DAVID ELLIS INVESTMENTS, INC.
May 24, 1984 - August 20, 1984
INSTITUTIONAL EQUITY CORPORATION
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.
