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GF

Gino A. Fortis

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CRD#: 4200228
GF

Professional summary

Gino Arturo Fortis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gino is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Gino had worked at 4 firms, which includes AVANTAX INVESTMENT SERVICES INC., FORESTERS EQUITY SERVICES INC., AMERIPRISE ADVISOR SERVICES INC., U.S. BANCORP INVESTMENTS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 15, 2007 - July 21, 2014

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DIXON, CA
Past

March 20, 2007 - November 16, 2007

FORESTERS EQUITY SERVICES, INC.

BD
CRD#: 18464
ROSEVILLE, CA
Past

March 12, 2004 - February 20, 2007

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

January 17, 2002 - January 5, 2004

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
SAINT PAUL, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/17/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 1/16/2002
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AI
AVANTAX INVESTMENT SERVICES, INC.
1ST GLOBAL | HD VEST INVESTMENT SERVICES | HD VEST | H.D. VEST INVESTMENT SERVICES | H.D. VEST INVESTMENT SECURITIES, INC. | AVANTAX WEALTH MANAGEMENT | AVANTAX INVESTMENT SERVICES, INC. | AVANTAX

CRD#: 13686 / SEC#: , 8-29533

BD
Termination Requested by SEC on 09/26/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 04/13/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
AVANTAX WEALTH MANAGEMENT, INC.SOLE SHAREHOLDER
BUCHHEISTER, JEFFREY ROBERTCHIEF FINANCIAL OFFICER4709900
BURKOTT, DANIEL PAULCHIEF COMPLIANCE OFFICER4710068
DOWELL, RODNEY CAMMERONPRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT7376607
GOK, LISA ANNEGENERAL COUNSEL, SECRETARY5059738
HOLWEGER, KIMBERLEYPRINCIPAL OPERATIONS OFFICER1572778
MACKAY, TODD CHRISTOPHERDIRECTOR AND VICE PRESIDENT2799860
MIZUGUCHI, MAURACHIEF ACCOUNTING OFFICER5769181
NEARY, JOSEPH DANIELDIRECTOR AND VICE PRESIDENT2993505
WATTS, ANDREW DAVIDPRESIDENT4780880

Disclosures

Regulatory Event16
Arbitration4
Bond1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

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