Thomas E. Jennens
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 Edward Jennens was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1994. Thomas had worked at 12 firms and has passed the Series 65, 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
February 21, 2012 - November 14, 2017
AVANTAX INVESTMENT SERVICES, INC.
October 5, 2009 - July 1, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
April 20, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
April 18, 2006 - August 29, 2006
NATCITY INVESTMENTS, INC.
January 18, 2006 - April 26, 2006
AMERIPRISE ADVISOR SERVICES, INC.
June 30, 2004 - November 15, 2005
GLP INVESTMENT SERVICES, LLC
December 9, 2003 - May 11, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 5, 2002 - August 6, 2002
CROWN CAPITAL SECURITIES, L.P.
December 10, 2001 - January 31, 2002
MML INVESTORS SERVICES, LLC
June 29, 2000 - December 18, 2001
WELLS FARGO CLEARING SERVICES, LLC
January 7, 1997 - June 8, 2000
BROKER DEALER FINANCIAL SERVICES CORP.
February 17, 1995 - December 31, 1996
DICKINSON & CO.
December 7, 1994 - January 15, 1995
MONTANO SECURITIES CORPORATION
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.
