Miroslava T. Zivnustka
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.
Miroslava Tyman Zivnustka, who also goes by Miriam Zivnustka, was a registered financial professional .
Miroslava is a previously registered financial professional and started their career in finance in 1994. Miroslava had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2011 - October 11, 2011
AVANTAX INVESTMENT SERVICES, INC.
February 18, 2011 - November 22, 2016
FIRST CLEARING, LLC
February 18, 2011 - December 2, 2016
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 3, 2011 - December 1, 2016
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - December 1, 2016
WELLS FARGO CLEARING SERVICES, LLC
April 17, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
April 17, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
November 2, 1998 - April 5, 2006
MORGAN STANLEY DW INC.
May 17, 1994 - April 5, 2006
MORGAN STANLEY DW INC.
March 16, 1994 - May 16, 1994
CITIGROUP GLOBAL MARKETS 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
Series 8
Date: 4/20/1999
General Securities Sales Supervisor Examination (Options Module & General Module)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.
