Kazeem Asuni
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.
Kazeem Asuni, who also goes by Asuni, was a registered financial professional .
Kazeem is a previously registered financial professional and started their career in finance in 2000. Kazeem had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 55, Series 7, Series 6, Series 24, Series 10, Series 9 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
October 20, 2014 - June 8, 2018
AVANTAX INVESTMENT SERVICES, INC.
January 17, 2012 - November 29, 2012
GLOBAL ARENA CAPITAL CORP
September 8, 2010 - February 7, 2012
FIRST MIDWEST SECURITIES, INC.
September 8, 2010 - February 7, 2012
FIRST MIDWEST SECURITIES, INC.
August 27, 2007 - June 19, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 29, 2007 - June 19, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 2004 - May 11, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 30, 2001 - October 20, 2004
QUICK & REILLY, INC.
March 8, 2000 - August 29, 2000
FORESTERS FINANCIAL 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 55
Date: 5/18/2002
Limited Representative-Equity Trader ExamCurrent 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.
