Rohitkumar C. Trivedi
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.
Rohitkumar Chhotalal Trivedi, who also goes by Rohit Rohitkumar, Rohit Chhotalal Trivedi, was a registered financial professional .
Rohitkumar is a previously registered financial professional and started their career in finance in 1990. Rohitkumar had worked at 5 firms and has passed the Series 63, SIE, 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
May 29, 2013 - November 15, 2017
AVANTAX INVESTMENT SERVICES, INC.
December 24, 2010 - December 14, 2011
AVANTAX INVESTMENT SERVICES, INC.
November 27, 2006 - December 23, 2008
AVANTAX INVESTMENT SERVICES, INC.
February 2, 2001 - March 30, 2005
METROPOLITAN LIFE INSURANCE COMPANY
February 2, 2001 - March 30, 2005
MSI FINANCIAL SERVICES, INC.
October 6, 1997 - March 5, 1999
FINANCE 500, INC.
June 10, 1994 - August 6, 1997
AVANTAX INVESTMENT SERVICES, INC.
July 16, 1990 - October 1, 1992
METROPOLITAN LIFE INSURANCE COMPANY
July 16, 1990 - October 1, 1992
MSI FINANCIAL SERVICES, INC.
February 23, 1990 - June 26, 1990
MARINER FINANCIAL SERVICES, 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.
