Martin Calderon
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.
Martin Calderon, who also goes by Marty Calderon, was a registered financial advisor .
Martin is a previously registered financial advisor and started their career in finance in 1988. Martin had worked at 11 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
January 30, 2015 - January 19, 2016
AVANTAX INVESTMENT SERVICES, INC.
March 6, 2008 - November 24, 2014
HALLIDAY FINANCIAL, LLC
October 14, 2005 - February 27, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
October 6, 2005 - February 27, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
June 10, 2004 - September 27, 2005
PURSHE KAPLAN STERLING INVESTMENTS
September 26, 2000 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
September 26, 2000 - June 24, 2004
VALIC FINANCIAL ADVISORS, INC.
April 6, 2000 - September 21, 2000
NATHAN & LEWIS SECURITIES, INC.
March 17, 1993 - December 31, 1999
PRINCIPAL SECURITIES, INC.
March 7, 1991 - December 31, 1992
CADARET, GRANT & CO., INC.
March 13, 1989 - March 14, 1991
J.M. WITZENBURG SECURITIES CORPORATION
December 20, 1988 - May 17, 1989
INDIVIDUAL'S SECURITIES LTD.
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.
