Patrick J. Badolato
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.
Patrick J Badolato, who also goes by Patricik Joseph Badolato, Patrick Joe Badolato, Patrick Joseph Badolato, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1990. Patrick had worked at 11 firms and has passed the Series 63, Series 7 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
April 9, 2009 - August 19, 2013
AVANTAX INVESTMENT SERVICES, INC.
June 10, 2005 - March 27, 2007
PFS INVESTMENTS INC.
November 13, 1998 - April 23, 2003
CITICORP INVESTMENT SERVICES
November 12, 1997 - November 4, 1998
ESSEX NATIONAL SECURITIES, LLC
October 7, 1996 - May 9, 1997
CHASE INVESTMENT SERVICES CORP.
April 25, 1996 - September 20, 1996
REPUBLIC FINANCIAL SERVICES CORPORATION
December 2, 1994 - July 13, 1995
FINANCIAL HORIZONS SECURITIES CORPORATION
June 1, 1992 - April 2, 1996
CITICORP INVESTMENT SERVICES
April 22, 1992 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
November 19, 1991 - May 5, 1992
IDS LIFE INSURANCE COMPANY
November 19, 1991 - May 5, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
March 21, 1990 - April 25, 1990
ROBERT THOMAS 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.
