Thomas R. Mcgrath
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.
Thomas Richard Mcgrath was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
August 20, 2014 - September 26, 2017
AVANTAX INVESTMENT SERVICES, INC.
February 22, 2006 - July 23, 2012
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 21, 2004 - March 29, 2005
TIAA-CREF TRUST COMPANY, FSB
April 8, 2004 - February 24, 2006
TEACHERS PERSONAL INVESTORS SERVICES, INC.
July 25, 2002 - March 19, 2004
COMMONWEALTH FINANCIAL NETWORK
July 22, 2002 - March 19, 2004
COMMONWEALTH FINANCIAL NETWORK
March 22, 2002 - July 19, 2002
CHASE INVESTMENT SERVICES CORP.
April 18, 2001 - July 19, 2002
CHASE INVESTMENT SERVICES CORP.
March 29, 2000 - April 24, 2001
PRIME CAPITAL SERVICES, INC.
January 8, 1997 - March 14, 2000
MUTUAL OF AMERICA SECURITIES LLC
March 15, 1995 - March 14, 2000
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
September 7, 1993 - February 13, 1995
TIAA-CREF INDIVIDUAL & INSTITUTIONAL 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.
