Lewis J. Hunter
Professional summary
Lewis Joseph Hunter was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lewis is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Lewis had worked at 5 firms, which includes AVANTAX INVESTMENT SERVICES INC., NYLIFE SECURITIES LLC, FIFTH THIRD SECURITIES INC., OLD KENT FINANCIAL ADVISORS, MONY SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2006 - October 19, 2011
AVANTAX INVESTMENT SERVICES, INC.
April 30, 2002 - December 4, 2006
NYLIFE SECURITIES LLC
May 2, 2001 - March 21, 2002
FIFTH THIRD SECURITIES, INC.
May 19, 1997 - May 2, 2001
OLD KENT FINANCIAL ADVISORS
November 8, 1996 - May 12, 1997
MONY SECURITIES CORPORATION
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 (3 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
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