Daniela Alexander
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.
Daniela Alexander was a registered financial professional .
Daniela is a previously registered financial professional and started their career in finance in 2001. Daniela had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2010 - June 27, 2018
AVANTAX INVESTMENT SERVICES, INC.
December 21, 2009 - June 27, 2018
AVANTAX ADVISORY SERVICES
September 25, 2006 - January 18, 2008
M.L. STERN & CO., LLC.
September 25, 2006 - January 18, 2008
M.L. STERN & CO., LLC.
April 26, 2006 - September 18, 2006
WELLS FARGO INVESTMENTS, LLC
April 26, 2006 - September 18, 2006
WELLS FARGO INVESTMENTS, LLC
March 23, 2004 - November 4, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 4, 2004 - November 4, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 5, 2002 - March 31, 2003
MORGAN STANLEY DW INC.
May 1, 2001 - March 31, 2003
MORGAN STANLEY DW INC.
February 8, 2001 - May 3, 2001
INTERFIRST CAPITAL 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
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.
