Dirk W. Johnson
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.
Dirk William Johnson, who also goes by Dirk W Johnson, Dirk Johnson, was a registered financial professional .
Dirk is a previously registered financial professional and started their career in finance in 1996. Dirk had worked at 12 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
May 31, 2019 - July 19, 2021
AVANTAX INVESTMENT SERVICES, INC.
March 23, 2016 - June 19, 2017
LPL FINANCIAL LLC
March 30, 2015 - April 1, 2016
AVANTAX INVESTMENT SERVICES, INC.
February 22, 2011 - May 30, 2014
ALLSTATE FINANCIAL SERVICES, LLC
May 3, 2007 - February 8, 2011
INVESTMENT PROFESSIONALS, INC.
November 1, 2006 - February 8, 2011
INVESTMENT PROFESSIONALS, INC.
November 11, 2004 - August 8, 2006
INVEST FINANCIAL CORPORATION
July 29, 2004 - November 15, 2004
SECURITIES AMERICA ADVISORS, INC.
June 4, 2004 - November 12, 2004
SECURITIES AMERICA, INC.
May 1, 2003 - June 8, 2004
CITIZENS SECURITIES, INC.
May 8, 2002 - June 8, 2004
CITIZENS SECURITIES, INC.
September 4, 1997 - December 31, 2000
MBSC, LLC
August 21, 1997 - May 8, 2002
DREYFUS INVESTMENT SERVICES COMPANY, LLC
April 4, 1997 - August 8, 1997
THE INVESTMENT CENTER, INC.
March 22, 1996 - April 15, 1997
LEGG MASON WOOD WALKER, INCORPORATED
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.
