Bernard M. Balsam
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.
Bernard Michael Balsam, who also goes by B Michael Balsam, B Balsam, Bernard M Balsam, Bernard Balsam, Mike Balsam, was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1984. Bernard had worked at 20 firms and has passed the Series 63, 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 2, 2009 - December 31, 2011
AVANTAX INVESTMENT SERVICES, INC.
December 23, 2008 - November 5, 2009
ALLSTATE FINANCIAL SERVICES, LLC
April 29, 2005 - December 31, 2008
RESOURCE HORIZONS GROUP LLC
September 15, 2003 - April 22, 2005
CETERA FINANCIAL SPECIALISTS LLC
May 30, 2003 - July 2, 2003
NEWBRIDGE SECURITIES CORPORATION
January 3, 2003 - May 7, 2003
HIGH MARK SECURITIES, INC.
September 4, 2002 - December 31, 2002
HIGH MARK SECURITIES, INC.
September 29, 2001 - September 18, 2002
AMERIPRISE ADVISOR SERVICES, INC.
February 15, 2000 - October 2, 2001
BIRCHTREE FINANCIAL SERVICES LLC
June 25, 1998 - January 11, 2000
QUESTAR CAPITAL CORPORATION
August 9, 1995 - June 30, 1998
FFP SECURITIES, INC.
November 28, 1994 - August 11, 1995
SUNPOINT SECURITIES, INC.
May 11, 1993 - September 1, 1995
BUTTONWOOD SECURITIES, INC.
January 6, 1993 - April 28, 1993
THE INVESTMENT CENTER, INC.
September 11, 1990 - April 29, 1991
SSI SECURITIES CORP.
December 16, 1989 - May 8, 1990
LPL FINANCIAL LLC
January 15, 1987 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
July 1, 1986 - January 15, 1987
RADFORD CAPITAL CORPORATION
May 30, 1985 - June 10, 1986
CARDELL & ASSOCIATES, INCORPORATED
July 30, 1984 - September 25, 1984
WADDELL & REED
June 13, 1984 - July 26, 1984
THE STUART-JAMES COMPANY, INCORPORATED
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.
