Dagny A. Johnson
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.
Dagny Ann Johnson, who also goes by Dagny Ann Johnsonrutkowski, Dagny Ann Sadowski, was a registered financial professional .
Dagny is a previously registered financial professional and started their career in finance in 1992. Dagny had worked at 9 firms and has passed the 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 30, 2016 - December 4, 2017
AVANTAX INVESTMENT SERVICES, INC.
August 26, 2015 - February 19, 2016
AVANTAX INVESTMENT SERVICES, INC.
January 13, 2014 - December 31, 2014
QUEST CAPITAL STRATEGIES, INC.
June 20, 1997 - October 2, 2006
AVANTAX ADVISORY SERVICES
November 7, 1996 - December 23, 2011
AVANTAX INVESTMENT SERVICES, INC.
September 13, 1995 - October 2, 1996
INVESTACORP, INC.
December 3, 1993 - January 30, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
December 2, 1993 - January 30, 1995
EQUITABLE ADVISORS, LLC
January 13, 1993 - November 12, 1993
METROPOLITAN LIFE INSURANCE COMPANY
January 13, 1993 - November 12, 1993
MSI FINANCIAL SERVICES, INC.
January 29, 1992 - November 10, 1992
TRIPLE CHECK FINANCIAL SERVICES, 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.
