David M. Barson
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.
David Michael Barson was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 15, Series 22 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2014 - December 26, 2014
AVANTAX INVESTMENT SERVICES, INC.
April 23, 2010 - December 31, 2010
PHILADELPHIA CAPITAL ADVISORS LLC
February 13, 2008 - May 15, 2008
TRANSAMERICA FINANCIAL ADVISORS, INC.
July 20, 2004 - January 9, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 29, 2002 - June 18, 2003
LASALLE FINANCIAL SERVICES, INC.
October 1, 2000 - February 13, 2001
WELLS FARGO CLEARING SERVICES, LLC
May 19, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
November 15, 1999 - March 1, 2000
IDS LIFE INSURANCE COMPANY
November 15, 1999 - March 1, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
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 15
Date: 3/14/2008
Foreign Currency Options 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.
