Barbara J. Kesterson
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.
Barbara Jo Kesterson, who also goes by Barbara Jo Breffle, Barbara Jo Kesterson, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1996. Barbara had worked at 19 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 24, Series 27 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
March 10, 2017 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
July 9, 2015 - November 9, 2016
VSR FINANCIAL SERVICES, INC.
July 9, 2015 - November 9, 2016
INVESTORS CAPITAL CORP.
July 9, 2015 - November 1, 2017
GIRARD SECURITIES, INC.
July 9, 2015 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
February 4, 2014 - November 5, 2025
CETERA WEALTH SERVICES, LLC
February 4, 2014 - November 5, 2025
CETERA INVESTMENT SERVICES LLC
February 4, 2014 - November 5, 2025
CETERA FINANCIAL SPECIALISTS LLC
February 4, 2014 - November 5, 2025
CETERA ADVISORS LLC
September 12, 2011 - May 14, 2012
SYSTEMATIZED BENEFITS ADMINISTRATORS, INC.
September 12, 2011 - May 14, 2012
VOYA RETIREMENT ADVISORS, LLC
September 12, 2011 - May 14, 2012
SLD AMERICA EQUITIES, INC.
September 12, 2011 - December 31, 2012
DIRECTED SERVICES LLC
July 15, 2010 - May 14, 2012
VOYA FINANCIAL PARTNERS, LLC
March 11, 2006 - February 1, 2010
CETERA ADVISORS LLC
March 11, 2006 - February 1, 2010
CETERA WEALTH SERVICES, LLC
November 23, 2005 - May 14, 2012
VOYA FINANCIAL ADVISORS, INC.
April 28, 2004 - October 25, 2005
AMERIPRISE ADVISOR SERVICES, INC.
August 22, 2003 - October 25, 2005
AMERIPRISE ADVISOR SERVICES, INC.
April 22, 1997 - August 27, 2003
LOCUST STREET SECURITIES, INC.
June 5, 1996 - April 15, 1997
STANTON INVESTMENT SERVICES, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent 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.
