Patti J. Sherwin
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.
Patti J Sherwin, who also goes by Patti Jeanne Sherwin, Patti Jeanne Waters, was a registered financial professional .
Patti is a previously registered financial professional and started their career in finance in 2003. Patti had worked at 5 firms and has passed the Series 66, SIE 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
January 3, 2015 - December 22, 2016
AVANTAX INVESTMENT SERVICES, INC.
December 23, 2014 - December 22, 2016
AVANTAX ADVISORY SERVICES
October 20, 2011 - March 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 2011 - March 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 2005 - October 17, 2011
AVANTAX ADVISORY SERVICES
August 3, 2004 - October 17, 2011
AVANTAX INVESTMENT SERVICES, INC.
February 24, 2003 - June 30, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
February 7, 2003 - June 30, 2004
IDS LIFE INSURANCE COMPANY
February 7, 2003 - June 30, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
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.
