Richard F. Warnock
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.
Richard Francis Warnock, who also goes by Rick Warnock, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2014 - December 31, 2014
AVANTAX INVESTMENT SERVICES, INC.
November 4, 2003 - December 5, 2014
AVANTAX INVESTMENT SERVICES, INC.
January 28, 2000 - November 7, 2003
MUTUAL SERVICE CORPORATION
November 16, 1998 - January 26, 2000
SENTRA SECURITIES CORPORATION
September 13, 1994 - November 16, 1998
UNITED PACIFIC SECURITIES, INC.
November 7, 1989 - September 3, 1994
TITAN/VALUE EQUITIES GROUP, INC.
July 27, 1989 - November 7, 1989
VALUE EQUITIES CORPORATION
January 26, 1988 - August 16, 1988
IPN INVESTMENT SERVICES, INC.
December 18, 1984 - January 19, 1988
GRANITE CAPITAL
October 26, 1984 - August 20, 1986
GRIFFIN, BLAIR & CO., 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.
