Ben R. Moses
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.
Ben Rex Moses, who also goes by Benjamin Rex Moses, was a registered financial professional .
Ben is a previously registered financial professional and started their career in finance in 1987. Ben had worked at 8 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 1991 - March 4, 1994
AVANTAX INVESTMENT SERVICES, INC.
December 7, 1990 - July 23, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 24, 1989 - November 29, 1990
CIBC WORLD MARKETS CORP.
May 6, 1989 - December 20, 1989
MORGAN STANLEY DW INC.
May 1, 1989 - May 10, 1989
AVANTAX INVESTMENT SERVICES, INC.
September 16, 1988 - December 13, 1988
CITIGROUP GLOBAL MARKETS INC.
February 15, 1988 - October 17, 1988
LEHMAN BROTHERS INC.
October 30, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
July 17, 1987 - November 18, 1987
AVANTAX INVESTMENT SERVICES, INC.
January 13, 1987 - October 28, 1987
FORESTERS FINANCIAL SERVICES, 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 | 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.
