Josh J. Bismuth
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.
Josh Jules Bismuth, who also goes by Joshua Jules Bismuth, was a registered financial professional .
Josh is a previously registered financial professional and started their career in finance in 1996. Josh had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2011 - November 22, 2017
AVANTAX INVESTMENT SERVICES, INC.
December 22, 2009 - April 20, 2011
CHASE INVESTMENT SERVICES CORP.
December 22, 2009 - April 20, 2011
CHASE INVESTMENT SERVICES CORP.
May 29, 2007 - December 17, 2009
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - December 17, 2009
CITIGROUP GLOBAL MARKETS INC.
February 22, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
October 16, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
February 14, 2005 - August 31, 2005
HSBC SECURITIES (USA) INC.
October 2, 2002 - February 10, 2005
CAPITAL ONE INVESTMENT SERVICES LLC
September 29, 1999 - August 15, 2002
SECURITIES AMERICA, INC.
March 20, 1997 - September 30, 1999
FIRST COLONIAL SECURITIES
March 27, 1996 - April 10, 1997
SUPPES 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.
