Lynne R. Bostwick
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.
Lynne Rodwell Bostwick was a registered financial professional .
Lynne is a previously registered financial professional and started their career in finance in 1990. Lynne had worked at 21 firms and has passed the Series 66, 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
August 5, 2011 - November 15, 2017
AVANTAX INVESTMENT SERVICES, INC.
July 15, 2011 - November 15, 2017
AVANTAX ADVISORY SERVICES
July 21, 2008 - July 10, 2009
FORESTERS EQUITY SERVICES, INC.
July 15, 2008 - July 10, 2009
FORESTERS EQUITY SERVICES, INC.
September 26, 2005 - October 26, 2006
CETERA WEALTH SERVICES, LLC
November 9, 2004 - June 27, 2005
SAMCO FINANCIAL SERVICES, INC.
April 20, 2004 - October 28, 2004
FORESTERS EQUITY SERVICES, INC.
September 2, 2003 - January 6, 2004
EDWARD JONES
July 2, 2003 - July 25, 2003
SUNAMERICA SECURITIES, INC.
March 26, 2003 - June 12, 2003
OSAIC WEALTH, INC.
January 5, 2001 - January 9, 2003
STRATEGIC ADVISERS LLC
June 15, 2000 - December 13, 2002
FIDELITY BROKERAGE SERVICES LLC
May 1, 2000 - June 12, 2000
LPL FINANCIAL LLC
January 5, 1998 - May 2, 2000
GUARANTY BROKERAGE SERVICES, INC.
October 15, 1996 - December 31, 1997
ALLSTATE FINANCIAL SERVICES, LLC
July 15, 1996 - September 17, 1996
WELLS FARGO SECURITIES INC.
July 8, 1995 - November 16, 1995
ESSEX NATIONAL SECURITIES, LLC
June 6, 1995 - July 15, 1996
FIRST INTERSTATE INVESTMENTS,INC.
August 7, 1993 - June 8, 1995
GRIFFIN FINANCIAL SERVICES
December 6, 1991 - May 17, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 24, 1991 - October 4, 1991
MONY SECURITIES CORPORATION
September 27, 1990 - November 20, 1990
IDS LIFE INSURANCE COMPANY
September 27, 1990 - November 20, 1990
AMERIPRISE FINANCIAL SERVICES, 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.
