Oscar S. Bugarini
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.
Oscar Sergio Bugarini, who also goes by Oscar S Bugarini, Oscar Sergio Bugarini Jr, Oscar Sergio Burarini Jr, was a registered financial professional .
Oscar is a previously registered financial professional and started their career in finance in 1994. Oscar had worked at 13 firms and has passed the Series 63, 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
January 26, 2015 - March 17, 2016
AVANTAX INVESTMENT SERVICES, INC.
July 4, 2012 - December 31, 2012
AVANTAX INVESTMENT SERVICES, INC.
September 9, 2010 - December 6, 2010
ZECCO TRADING, INC.
May 14, 2007 - July 1, 2009
QUEST CAPITAL STRATEGIES, INC.
October 22, 2004 - September 20, 2006
CETERA ADVISORS LLC
October 22, 2004 - September 20, 2006
VOYA FINANCIAL ADVISORS, INC.
October 22, 2004 - September 20, 2006
CETERA WEALTH SERVICES, LLC
April 6, 2004 - July 29, 2004
WHITE PACIFIC SECURITIES, INC.
September 14, 2000 - November 14, 2002
MORGAN STANLEY DW INC.
November 7, 1997 - November 22, 2000
TD AMERITRADE, INC.
May 23, 1996 - November 7, 1997
KENNEDY, CABOT & CO.
August 17, 1995 - April 4, 1996
SUNAMERICA SECURITIES, INC.
February 21, 1995 - August 26, 1995
DIVERSIFIED SECURITIES, INCORPORATED
April 7, 1994 - July 12, 1994
H.J. MEYERS & CO., 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.
