Cynthia L. Bodge
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.
Cynthia Lou Bodge, who also goes by Cynthia L Bodge, Celia Brandon, Cynthia Brandon, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1987. Cynthia 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
July 31, 2013 - December 31, 2018
AVANTAX INVESTMENT SERVICES, INC.
October 1, 2008 - August 27, 2013
GROVE POINT INVESTMENTS, LLC
January 3, 2008 - September 30, 2008
LIVINGSTON MONROE CAPITAL GROUP INC.
January 8, 2007 - December 31, 2007
RESOURCE HORIZONS GROUP LLC
October 4, 2005 - December 31, 2006
RESOURCE HORIZONS GROUP LLC
October 21, 2003 - September 6, 2005
DUNWOODY BROKERAGE SERVICES, INC.
January 7, 2002 - October 24, 2003
PRIMEX
December 1, 2000 - November 28, 2001
ARGUS SECURITIES, INC.
June 27, 1997 - December 19, 2000
NEXT ADVISORS INC.
October 29, 1996 - June 20, 1997
PRIMEX
January 18, 1996 - October 21, 1996
STRATEGIC ASSETS INC.
May 13, 1987 - January 17, 1996
BUTTONWOOD SECURITIES, 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.
