Kevin J. Larson
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.
Kevin James Larson was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1998. Kevin had worked at 11 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 6, Series 14, Series 4, Series 53 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
January 12, 2024 - April 10, 2025
AVANTAX INVESTMENT SERVICES, INC.
April 5, 2018 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
April 5, 2018 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
April 5, 2018 - April 10, 2025
CETERA FINANCIAL SPECIALISTS LLC
April 5, 2018 - April 10, 2025
CETERA ADVISORS LLC
April 5, 2018 - April 10, 2025
CETERA WEALTH SERVICES, LLC
October 15, 2014 - April 10, 2025
CETERA INVESTMENT ADVISERS LLC
October 15, 2014 - April 10, 2025
CETERA INVESTMENT SERVICES LLC
November 17, 2009 - October 13, 2014
FINTEGRA, LLC
July 2, 2007 - October 13, 2014
FINTEGRA, LLC
July 1, 2002 - June 27, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
June 26, 1998 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
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 52TO
Date: 1/2/2023
Municipal Securities Representative 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.
