Johnnie Davis
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.
Johnnie Davis, who also goes by Johnny Davis, was a registered financial professional .
Johnnie is a previously registered financial professional and started their career in finance in 1989. Johnnie had worked at 14 firms and has passed the Series 65, Series 63, Series 31 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 12, 2009 - December 6, 2013
AVANTAX INVESTMENT SERVICES, INC.
October 28, 2004 - June 15, 2009
FARMERS FINANCIAL SOLUTIONS, LLC
July 15, 2002 - April 25, 2003
AMERIPRISE ADVISOR SERVICES, INC.
March 16, 2001 - July 24, 2002
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
December 13, 2000 - March 5, 2001
WELLS FARGO INVESTMENTS, LLC
March 18, 1999 - March 5, 2001
WELLS FARGO SECURITIES INC.
July 13, 1998 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
July 23, 1997 - July 15, 1998
CETERA ADVISORS LLC
February 18, 1997 - July 1, 1997
BOLTON GLOBAL CAPITAL
October 22, 1996 - April 29, 1997
MADISON GROUP SECURITIES INC.
April 30, 1993 - October 4, 1996
MORGAN STANLEY DW INC.
February 24, 1992 - June 4, 1993
SENTRA SECURITIES CORPORATION
December 19, 1989 - February 7, 1992
TRANSAMERICA SECURITIES SALES CORPORATION
December 19, 1989 - February 7, 1992
TRANSAMERICA FINANCIAL ADVISORS, 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.
