Dianne C. Buhler
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.
Dianne Chehardy Buhler, who also goes by Dianne D Book, Dianne Donham Book, Dianne Donham Chehardy, Dianne Chehardybuhler, Buhler Chehardy Dianne, Diane Marie Donham, was a registered financial professional .
Dianne is a previously registered financial professional and started their career in finance in 1988. Dianne had worked at 9 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
June 2, 2010 - April 20, 2015
AVANTAX INVESTMENT SERVICES, INC.
April 12, 2006 - July 14, 2010
INTL ADVISORY CONSULTANTS INC.
April 6, 2002 - July 13, 2010
STONEX SECURITIES INC.
August 23, 2000 - April 6, 2002
INTL CUSTODY & CLEARING SOLUTIONS INC.
April 8, 1993 - September 6, 2000
AVANTAX INVESTMENT SERVICES, INC.
July 10, 1992 - April 2, 1993
UNITED PACIFIC SECURITIES, INC.
June 18, 1992 - July 6, 1992
WALNUT STREET SECURITIES, INC.
July 6, 1989 - June 23, 1992
MARQUETTE FINANCIAL GROUP, INC.
December 20, 1988 - June 19, 1989
IDS LIFE INSURANCE COMPANY
December 20, 1988 - June 19, 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.
