Bryce K. Johnson
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.
Bryce Kirby Johnson was a registered financial professional .
Bryce is a previously registered financial professional and started their career in finance in 1986. Bryce had worked at 14 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 6 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, 2020
AVANTAX INVESTMENT SERVICES, INC.
December 6, 2018 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
December 22, 2015 - December 15, 2016
THRIVENT INVESTMENT MANAGEMENT INC.
February 10, 2011 - December 31, 2013
HORNOR, TOWNSEND & KENT, LLC
April 10, 2008 - February 17, 2011
CAMBRIDGE LEGACY SECURITIES L.L.C.
April 27, 2007 - December 17, 2007
AMREIT SECURITIES COMPANY
February 24, 2004 - April 4, 2007
SECURITY DISTRIBUTORS
April 5, 2000 - October 31, 2003
IDS LIFE INSURANCE COMPANY
April 5, 2000 - October 31, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
April 23, 1992 - April 13, 2000
NATIONWIDE SECURITIES, LLC
June 18, 1989 - January 25, 1991
SUNAMERICA SECURITIES, INC.
November 3, 1987 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
January 6, 1987 - November 9, 1987
FIDELITY BROKERAGE SERVICES LLC
July 9, 1986 - December 12, 1986
FIDELITY DISTRIBUTORS 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
Series 7TO
Date: 3/9/2024
General Securities Representative ExaminationCurrent 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.
