Ernest F. Kraft
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.
Ernest Fred Kraft was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 1995. Ernest had worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2009 - May 13, 2014
AVANTAX INVESTMENT SERVICES, INC.
April 6, 2006 - January 16, 2009
MSI FINANCIAL SERVICES, INC.
February 10, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
February 10, 2003 - January 16, 2009
MSI FINANCIAL SERVICES, INC.
March 22, 2002 - February 11, 2003
TOWER SQUARE SECURITIES, INC.
May 17, 2000 - December 31, 2001
TOWER SQUARE SECURITIES, INC.
February 8, 1999 - March 1, 2000
VERAVEST INVESTMENTS, INC.
July 27, 1998 - January 1, 1999
AMERICAN GENERAL EQUITY SERVICES CORPORATION
November 2, 1995 - August 22, 1996
MONY SECURITIES CORPORATION
September 11, 1995 - November 3, 1995
SUNPOINT SECURITIES, INC.
July 6, 1995 - August 28, 1995
WMA SECURITIES, 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.
