Meiyi Xia
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.
Meiyi Xia, who also goes by Mary XIa, was a registered financial professional .
Meiyi is a previously registered financial professional and started their career in finance in 1991. Meiyi had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, 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
June 30, 2014 - March 11, 2015
AVANTAX INVESTMENT SERVICES, INC.
July 13, 2010 - July 23, 2012
BENJAMIN & JEROLD BROKERAGE I, LLC
April 19, 2010 - July 15, 2010
MD GLOBAL PARTNERS, LLC
March 5, 2008 - December 31, 2008
FORTUNE FINANCIAL SERVICES, INC.
December 7, 2005 - March 17, 2006
R. F. LAFFERTY & CO., INC.
July 31, 2002 - January 7, 2004
MORGAN STANLEY DW INC.
July 16, 2002 - January 7, 2004
MORGAN STANLEY DW INC.
May 25, 2001 - June 7, 2001
THOMAS FLETCHER & COMPANY, INC.
April 16, 1998 - May 15, 2001
THOMAS FLETCHER & COMPANY, INC.
October 16, 1996 - May 19, 1997
CLEARING SERVICES OF AMERICA, INC.
February 24, 1992 - October 5, 1994
THE STAMFORD COMPANY, INC.
June 18, 1991 - March 3, 1992
NETWORK 1 FINANCIAL SECURITIES INC.
February 25, 1991 - June 26, 1991
PAULSON INVESTMENT COMPANY 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.
