Tim A. Kraft
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.
Tim A Kraft, who also goes by Tim Kraft, Timothy Alan Kraft, was a registered financial professional .
Tim is a previously registered financial professional and started their career in finance in 1985. Tim had worked at 19 firms and has passed the Series 66, Series 63, SIE, 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, 2015 - November 10, 2017
AVANTAX INVESTMENT SERVICES, INC.
December 4, 2015 - November 10, 2017
AVANTAX ADVISORY SERVICES
April 24, 2015 - May 27, 2015
STRIDE INVESTMENTS, LLC
January 22, 2014 - April 29, 2014
UNITED ADVISORS AMERICA
May 9, 2013 - December 31, 2013
ALLSTATE FINANCIAL ADVISORS, LLC
May 9, 2013 - December 31, 2013
ALLSTATE FINANCIAL SERVICES, LLC
December 13, 2011 - April 8, 2013
NEW ENGLAND SECURITIES
November 3, 2011 - April 8, 2013
NEW ENGLAND SECURITIES
May 23, 2008 - March 24, 2011
PLANMEMBER SECURITIES CORPORATION
October 18, 2007 - March 24, 2011
PLANMEMBER SECURITIES CORPORATION
November 29, 2006 - October 23, 2007
WELLSTONE SECURITIES, LLC
January 5, 2006 - June 16, 2006
RESOURCE HORIZONS GROUP LLC
August 25, 2004 - December 31, 2005
RESOURCE HORIZONS GROUP LLC
December 22, 2000 - December 2, 2002
PRIMEX
August 26, 1997 - December 31, 1998
LASALLE ST SECURITIES, L.L.C.
January 23, 1996 - May 27, 1997
QUICK & REILLY, INC.
July 13, 1993 - September 8, 1994
CETERA INVESTMENT SERVICES LLC
January 28, 1993 - June 2, 1993
ALLSTATE FINANCIAL SERVICES, LLC
February 21, 1992 - November 10, 1992
CETERA INVESTMENT SERVICES LLC
January 6, 1992 - February 24, 1992
CAL FED INVESTMENTS
March 31, 1990 - January 6, 1992
INDEPENDENT FINANCIAL SECURITIES, INC.
July 21, 1989 - August 26, 1989
AMERIPRISE ADVISOR SERVICES, INC.
July 28, 1986 - January 2, 1989
MORGAN STANLEY DW INC.
December 17, 1985 - July 16, 1986
BLINDER, ROBINSON & CO., 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.
