William J. Brophy
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.
William Joseph Brophy JR, who also goes by William Joseph Brophy, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1990. William had worked at 10 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
December 4, 2013 - November 14, 2017
AVANTAX INVESTMENT SERVICES, INC.
October 5, 2009 - December 22, 2011
CETERA FINANCIAL SPECIALISTS LLC
May 26, 2004 - October 8, 2007
PFS INVESTMENTS INC.
December 14, 2002 - April 8, 2003
PRINCIPAL SECURITIES, INC.
September 13, 2001 - December 17, 2002
PPI EMPLOYEE BENEFITS CORPORATION
June 26, 2000 - August 24, 2001
ALLEN DOUGLAS SECURITIES, INC.
February 20, 1997 - April 3, 1997
CHARLES SCHWAB & CO., INC.
June 30, 1993 - March 3, 1997
HIMCO DISTRIBUTION SERVICES COMPANY
June 6, 1992 - November 24, 1992
VP DISTRIBUTORS LLC
April 25, 1990 - October 2, 1990
DAVID LERNER ASSOCIATES, 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.
