Michael J. Jorgensen
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.
Michael James Jorgensen, who also goes by Mike Jorgensen, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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
September 30, 2020 - August 17, 2022
AVANTAX INVESTMENT SERVICES, INC.
November 10, 2017 - August 17, 2022
AVANTAX PLANNING PARTNERS, INC.
October 20, 2017 - September 30, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 28, 2015 - August 15, 2017
INTEGRITY ALLIANCE, LLC.
September 10, 2015 - August 15, 2017
INTEGRITY ALLIANCE, LLC.
July 10, 2012 - December 31, 2013
AMERITAS INVESTMENT COMPANY, LLC
July 10, 2012 - December 31, 2013
AMERITAS INVESTMENT COMPANY, LLC
November 30, 2009 - April 9, 2012
PRINCIPAL FUNDS DISTRIBUTOR, INC.
November 4, 2004 - April 9, 2012
PRINCIPAL SECURITIES, INC.
May 19, 2000 - April 9, 2012
PRINCIPAL SECURITIES, INC.
July 30, 1997 - May 10, 2000
LOCUST STREET SECURITIES, INC.
September 10, 1996 - July 30, 1997
THE LEADERS GROUP, INC.
August 31, 1994 - September 5, 1995
HIMCO DISTRIBUTION SERVICES COMPANY
July 22, 1987 - October 10, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
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.
