Mittchelena Meade
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.
Mittchelena Meade was a registered financial professional .
Mittchelena is a previously registered financial professional and started their career in finance in 1991. Mittchelena had worked at 10 firms and has passed the Series 65, Series 63, SIE 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 25, 2014 - May 25, 2018
AVANTAX INVESTMENT SERVICES, INC.
December 14, 2010 - December 31, 2013
AVALON INVESTMENT & SECURITIES GROUP, INC.
October 25, 2010 - December 31, 2012
INSTITUTE FOR WEALTH ADVISORS, INC.
September 26, 2008 - November 20, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 18, 2007 - May 29, 2008
WESTERN INTERNATIONAL SECURITIES, INC.
August 8, 2007 - May 29, 2008
WESTERN INTERNATIONAL SECURITIES, INC.
October 16, 2006 - July 3, 2007
WORKMAN SECURITIES CORPORATION
March 20, 2006 - July 3, 2007
WORKMAN SECURITIES CORPORATION
November 18, 2004 - March 31, 2006
MSI FINANCIAL SERVICES, INC.
November 18, 2004 - March 31, 2006
METROPOLITAN LIFE INSURANCE COMPANY
November 18, 2004 - March 31, 2006
MSI FINANCIAL SERVICES, INC.
December 21, 1999 - March 31, 2005
AVANTAX ADVISORY SERVICES
July 24, 1998 - March 30, 2005
AVANTAX INVESTMENT SERVICES, INC.
August 14, 1991 - June 2, 1993
SECURITIES AMERICA, 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 (3 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 | 17 |
| 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.
