Sharon L. Kollmar
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.
Sharon Lynne Kollmar, who also goes by Sharon Lynne Depko, Sharon Kollmar, was a registered financial professional .
Sharon is a previously registered financial professional and started their career in finance in 1999. Sharon had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2017 - July 19, 2021
AVANTAX INVESTMENT SERVICES, INC.
September 15, 2015 - September 13, 2017
EQUITABLE ADVISORS, LLC
June 2, 2014 - May 19, 2015
SORRENTO PACIFIC FINANCIAL, LLC
March 4, 2008 - June 9, 2014
LPL FINANCIAL LLC
December 2, 2005 - March 4, 2008
IFMG SECURITIES, INC.
July 28, 2005 - November 15, 2005
CAPITAL ONE INVESTMENT SERVICES LLC
January 1, 2005 - August 12, 2005
HSBC SECURITIES (USA) INC.
March 27, 2003 - January 1, 2005
HSBC BROKERAGE (USA) INC.
September 8, 2001 - March 18, 2003
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
August 2, 1999 - September 20, 2001
NATHAN & LEWIS SECURITIES, 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
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.
