Glenda S. Bone
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.
Glenda Sue Bone was a registered financial professional .
Glenda is a previously registered financial professional and started their career in finance in 1986. Glenda had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9, Series 53 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
July 16, 2010 - February 1, 2011
AVANTAX INVESTMENT SERVICES, INC.
February 8, 2010 - February 1, 2011
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 8, 2010 - February 1, 2011
FIRST CLEARING, LLC
February 8, 2010 - September 9, 2021
WELLS FARGO CLEARING SERVICES, LLC
February 2, 2010 - September 9, 2021
WELLS FARGO CLEARING SERVICES, LLC
January 15, 2003 - April 14, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
August 26, 2002 - July 3, 2006
IDS LIFE INSURANCE COMPANY
May 10, 2002 - August 7, 2002
IDS LIFE INSURANCE COMPANY
May 10, 2002 - April 14, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
October 1, 2001 - November 23, 2001
LASALLE ST SECURITIES, L.L.C.
March 18, 1998 - October 1, 2001
EISNER SECURITIES, INC.
November 6, 1997 - March 12, 1998
METLIFE INVESTORS DISTRIBUTION COMPANY
August 10, 1992 - January 29, 1996
WALNUT STREET SECURITIES, INC.
March 1, 1989 - August 3, 1992
MERCANTILE INVESTMENT SERVICES, INC.
September 21, 1987 - June 28, 1988
NEW ENGLAND SECURITIES
April 15, 1986 - July 27, 1987
LINCOLN FINANCIAL DISTRIBUTORS, 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.
