Joel L. Henning
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.
Joel Lee Henning was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1986. Joel had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2010 - August 9, 2017
AVANTAX INVESTMENT SERVICES, INC.
May 29, 2007 - March 9, 2010
STIFEL INDEPENDENT ADVISORS, LLC
July 26, 2004 - May 31, 2007
IFMG SECURITIES, INC.
October 22, 2003 - July 28, 2004
CETERA WEALTH SERVICES, LLC
February 15, 2001 - November 5, 2003
RAYMOND JAMES & ASSOCIATES, INC.
July 1, 1997 - February 22, 2001
MORGAN STANLEY DW INC.
January 2, 1992 - July 29, 1997
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 12, 1989 - January 3, 1992
IDS LIFE INSURANCE COMPANY
December 12, 1989 - January 3, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
June 25, 1986 - December 20, 1989
MARQUETTE FINANCIAL GROUP, 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.
