Jayant C. Kharkar
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.
Jayant C. Kharkar, who also goes by Jayant C Kharkar, was a registered financial professional .
Jayant is a previously registered financial professional and started their career in finance in 2004. Jayant had worked at 7 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
June 24, 2011 - December 22, 2016
AVANTAX INVESTMENT SERVICES, INC.
August 3, 2009 - December 7, 2009
EQUITABLE ADVISORS, LLC
August 3, 2009 - December 7, 2009
EQUITABLE ADVISORS, LLC
June 13, 2008 - February 6, 2009
VALIC FINANCIAL ADVISORS, INC.
June 13, 2008 - February 6, 2009
VALIC FINANCIAL ADVISORS, INC.
August 14, 2007 - April 16, 2008
TD AMERITRADE, INC.
August 14, 2007 - April 16, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 17, 2007 - April 16, 2008
TD AMERITRADE, INC.
October 26, 2006 - July 19, 2007
WORLD GROUP SECURITIES, INC.
August 3, 2005 - June 26, 2006
CITICORP INVESTMENT SERVICES
August 4, 2004 - July 14, 2005
WORLD GROUP SECURITIES, 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.
