David P. Mcguinness
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.
David Patrick Mcguinness, who also goes by David Patrick Mc Guinness, David Mc Guinness, David Mcguinness, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2001. David had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 55 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
March 31, 2014 - September 11, 2017
AVANTAX INVESTMENT SERVICES, INC.
September 13, 2011 - April 20, 2012
CHASE INVESTMENT SERVICES CORP.
May 29, 2007 - August 18, 2011
CITIGROUP GLOBAL MARKETS INC.
September 6, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
November 13, 2003 - October 6, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
November 13, 2003 - October 6, 2004
IDS LIFE INSURANCE COMPANY
November 13, 2003 - October 6, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
June 19, 2002 - November 4, 2002
WAMU INVESTMENTS, INC.
August 31, 2001 - March 12, 2002
ELECTRONIC TRADING GROUP, LLC
July 12, 2001 - August 13, 2001
CHARLES SCHWAB & CO., 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
Series 55
Date: 11/5/2001
Limited Representative-Equity Trader ExamCurrent 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.
