Colette E. Wigart
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.
Colette Erica Wigart, who also goes by Colette E Everson, Colette Erica Everson, Colette E Wigart, was a registered financial professional .
Colette is a previously registered financial professional and started their career in finance in 1990. Colette had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2022 - May 22, 2023
AVANTAX INVESTMENT SERVICES, INC.
November 12, 2015 - September 24, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 5, 2015 - September 24, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 27, 2010 - October 7, 2015
MORGAN STANLEY
August 20, 2010 - October 7, 2015
MORGAN STANLEY
April 3, 2006 - June 7, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 2004 - June 7, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 27, 2000 - September 1, 2004
CROWELL, WEEDON & CO.
November 14, 1998 - January 11, 2000
CAL FED INVESTMENTS
October 5, 1998 - November 14, 1998
GLENFED BROKERAGE SERVICES
October 3, 1997 - June 4, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 3, 1997 - June 4, 1998
OSAIC FA, INC.
May 7, 1996 - September 5, 1997
IDS LIFE INSURANCE COMPANY
May 7, 1996 - September 5, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
April 1, 1993 - January 3, 1996
PRUCO SECURITIES, LLC.
April 17, 1990 - January 19, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 17, 1990 - January 19, 1993
PRUCO SECURITIES, 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.
