Jerry J. Magdaleno
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.
Jerry Jesse Magdaleno, who also goes by Jerry Jesse Madgaleno, Jerry J Magdaleno, was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 1969. Jerry had worked at 10 firms and has passed the SIE, Series 22, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 1987 - November 4, 2016
AVANTAX INVESTMENT SERVICES, INC.
June 28, 1976 - January 8, 1979
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 28, 1976 - January 14, 1980
OSAIC FA, INC.
November 18, 1975 - May 5, 1976
AMERICAN EXPRESS FINANCIAL CORPORATION
November 18, 1975 - May 5, 1976
AMERIPRISE FINANCIAL SERVICES, LLC
November 18, 1975 - May 5, 1976
IDS LIFE INSURANCE COMPANY
October 24, 1974 - November 27, 1975
DELGER CORPORATION
February 12, 1974 - May 24, 1976
CAPITAL PLANNING SECURITIES COMPANY, INC.
December 22, 1971 - October 19, 1972
EQUITY FUNDING SECURITIES CORPORATION
December 11, 1969 - January 28, 1972
TCA MANAGEMENT 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
Series 1
Date: 8/8/1967
Registered 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.
