Jack E. Davis
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.
Jack Emerson Davis was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 1986. Jack had worked at 10 firms and has passed the Series 65, Series 63, 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 15, 2006 - September 30, 2008
AVANTAX INVESTMENT SERVICES, INC.
January 5, 2004 - December 17, 2004
WOLF FINANCIAL MANAGEMENT, LLC
July 3, 2003 - December 17, 2004
WOLF FINANCIAL MANAGEMENT, LLC
November 21, 2002 - December 2, 2013
CORNERSTONE PROFESSIONAL ADVISOR SERVICES, LLC
May 4, 2000 - July 5, 2001
MACKEN SECURITIES, INC.
September 29, 1999 - January 14, 2000
QA3 FINANCIAL CORP.
September 1, 1993 - June 10, 1999
SECURITIES AMERICA, INC.
October 19, 1990 - December 31, 1991
STANFORD SECURITIES INCORPORATED
October 23, 1989 - October 16, 1990
FSC SECURITIES CORPORATION
April 17, 1989 - October 7, 1989
A. G. EDWARDS & SONS, INC.
November 21, 1986 - October 16, 1990
FSC SECURITIES CORPORATION
September 12, 1986 - November 25, 1986
BROOK INVESTMENTS, 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 (3 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 | 17 |
| 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.
