Francesca A. Bertucci
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.
Francesca Ann Bertucci, who also goes by Fran A. Bertucci, Frances Ann Bertucci, Francesca Ann Bertucci Ms., Frances Ann Ross, was a registered financial professional .
Francesca is a previously registered financial professional and started their career in finance in 1987. Francesca had worked at 17 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
November 24, 2015 - February 23, 2018
AVANTAX INVESTMENT SERVICES, INC.
April 18, 2014 - December 31, 2014
FARMERS FINANCIAL SOLUTIONS, LLC
January 24, 2013 - December 19, 2013
MACK INVESTMENT SECURITIES, INC.
February 24, 2011 - December 20, 2011
WORLD GROUP SECURITIES, INC.
June 22, 2007 - September 28, 2009
WORLD EQUITY GROUP, INC.
February 21, 2007 - February 26, 2007
CHASE INVESTMENT SERVICES CORP.
October 22, 2002 - November 29, 2005
LASALLE ST SECURITIES, L.L.C.
September 19, 2001 - February 21, 2002
ALLSTATE FINANCIAL SERVICES, LLC
February 21, 2001 - June 18, 2001
LPL FINANCIAL LLC
February 8, 1999 - December 4, 2000
LASALLE FINANCIAL SERVICES, INC.
December 9, 1997 - July 1, 1998
LASALLE ST SECURITIES, L.L.C.
August 28, 1997 - November 24, 1997
ALLSTATE FINANCIAL SERVICES, LLC
May 3, 1996 - May 9, 1997
A. G. EDWARDS & SONS, INC.
November 14, 1991 - April 15, 1996
CITICORP INVESTMENT SERVICES
March 6, 1991 - April 6, 1993
FINANCIAL HORIZONS SECURITIES CORPORATION
December 15, 1988 - June 27, 1990
INVEST FINANCIAL CORPORATION
October 31, 1988 - January 2, 1989
ALLIED CAPITAL GROUP, INC.
March 4, 1988 - November 3, 1988
GRAYSTONE NASH, INC.
August 18, 1987 - February 27, 1988
JOSEPH P. MCGIVNEY AND ASSOCIATES, 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.
