Charles J. Long
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.
Charles James Long III, who also goes by Beau Long, Bo Long, Charles James Long, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1986. Charles had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2013 - November 22, 2016
AVANTAX INVESTMENT SERVICES, INC.
November 12, 2008 - August 19, 2011
EQUITABLE ADVISORS, LLC
August 1, 2005 - January 3, 2007
MCL FINANCIAL GROUP, INC.
December 1, 2003 - July 12, 2005
AMERIPRISE ADVISOR SERVICES, INC.
December 1, 2003 - July 12, 2005
AMERIPRISE ADVISOR SERVICES, INC.
August 21, 2002 - November 25, 2003
1ST DISCOUNT BROKERAGE, INC.
April 23, 1997 - August 21, 2002
ACUMENT SECURITIES, INC.
January 2, 1989 - May 1, 1997
QUICK & REILLY, INC.
June 17, 1987 - October 24, 1988
SWINK & COMPANY, INC.
March 20, 1986 - November 5, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
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 8
Date: 4/6/1990
General Securities Sales Supervisor Examination (Options Module & General Module)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.
