SB
Steven J. Berman
Some features on this profile are disabled
CRD#: 2542758
SB
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.
Steven Joel Berman was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1994. Steven had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Steven Berman EA~'NIR'~44 Gough Street, Suite 205~San Francisco~CA~94114~Accounting Services/Tax Preparation~Owner~1/1/1994~100hrs~50hrs~I do tax planning for my clients and other clients who come to us. I oversee the operation of the tax preparation and review of tax returns. I also answer client questions which are beyond the scope of other employees. I speak with the IRS and state agencies concerning clients who have received notices regarding tax issues. 2) Avantax Insurance Agency, LLC~'IR'~6333 North State Highway 161, 4th Floor~Irving~TX~75038~Equity Indexed Annuity~Agent~5/15/2018~2hrs~2hrs~I may have the ability to sell any, or all of the following products: variable annuities, fixed annuities, any/all types of index annuities, variable insurance (e.g. VUL/VIL). 3) TAXPLUS FINANCIAL SERVICES; POSITION: Owner NATURE: TaxPlus Financial Services is a tax preparation and tax advice company. The company provides tax returns for individuals, partnerships, corporations, tax-exempt entities, and fiduciaries such as for trusts and estates. Tax advice regarding the above entities is also provided. Furthermore, investment related activities under Avantax are provided as well as insurance related activities also under Avantax. INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 8 START DATE: 01/01/1994; ADDRESS: 44 Gough St., Ste 205, San Francisco CA 94103, United States; DESCRIPTION: My main duty is to oversee the general operation of this business. I answer tax questions from the tax preparers when needed. I also answer questions that are asked by clients. I give tax advice to clients concerning their individual and business tax returns. Other duties I perform are the overseeing the ordering of supplies and equipment such as computers and printers. I consult frequently with my office manager about the general running and organization of the business. I oversee our tax preparers to make sire that they are correctly and accurately preparing the tax returns for clients. I also speak with the landlord of our offices regarding upkeep of the offices and any changes in procedures having to do with the lease as well as discussing lease renewal with him when the time comes. Furthermore, I discuss the opening of investment accounts with tax clients, particularly tax advantaged accounts that would help clients lower the taxes due on their tax returns. For my investment clients I discuss the activity of their accounts and provide answers to their questions. Also I sell insurance products at TaxPlus Financial Service and service those accounts. 4) STEVEN BERMAN EA DBA TAXPLUS FINANCIAL SERVICES POSITION: Owner NATURE: Tax preparation, planning and advice. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 01/01/1994 ADDRESS: 44 Gough, Ste 205, San Francisco CA 94103, United States DESCRIPTION: To oversee the activities of the business. Tax preparation Tax return review Tax planning and advice Communication with various tax agencies such as the IRS and the CA FTB.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
September 5, 2018 - February 1, 2023
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
San Francisco, CA
Past
August 31, 2018 - February 1, 2023
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
San Francisco, CA
Past
August 16, 2002 - April 18, 2018
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
SAN FRANCISCO, CA
Past
November 17, 1994 - April 18, 2018
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
SAN FRANCISCO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AI
AVANTAX INVESTMENT SERVICES, INC.
1ST GLOBAL | HD VEST INVESTMENT SERVICES | HD VEST | H.D. VEST INVESTMENT SERVICES | H.D. VEST INVESTMENT SECURITIES, INC. | AVANTAX WEALTH MANAGEMENT | AVANTAX INVESTMENT SERVICES, INC. | AVANTAX
CRD#: 13686 / SEC#: , 8-29533
BD
Termination Requested by SEC on 09/26/2025
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
Mailing Address
Phone number
Established
Texas since 04/13/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
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.
