Generes D. Bayle
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.
Generes Dufour Bayle, who also goes by Dufour Bayle, was a registered financial professional .
Generes is a previously registered financial professional and started their career in finance in 1966. Generes had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 1 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
January 28, 2014 - December 31, 2015
AVANTAX INVESTMENT SERVICES, INC.
September 26, 2005 - February 14, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 13, 2005 - February 14, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 3, 2003 - November 11, 2004
OGILVIE SECURITY ADVISORS CORPORATION
July 17, 1998 - November 11, 2004
OGILVIE SECURITY ADVISORS CORPORATION
June 20, 1994 - July 22, 1998
WOODBURY FINANCIAL SERVICES, INC.
May 1, 1991 - April 4, 1994
MML INVESTORS SERVICES, LLC
March 13, 1989 - December 17, 1990
MML INVESTORS SERVICES, LLC
July 13, 1984 - March 20, 1989
ASSOCIATED SECURITIES CORP.
April 18, 1984 - July 6, 1984
FINANCIAL PLANNERS EQUITY CORPORATION
October 17, 1977 - November 30, 1980
INDEPENDENT FINANCIAL PLANNERS CORPORATION
June 16, 1971 - July 28, 1976
MARSH & MCLENNAN SECURITIES CORPORATION
May 23, 1966 - July 4, 1971
EGRET DISTRIBUTING COMPANY, 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
Series 1
Date: 5/19/1966
Registered Representative ExaminationCurrent 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.
