Christopher R. Firth
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.
Christopher Roland Firth, who also goes by Christopher R Firth, Christopher Firth, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2001. Christopher had worked at 9 firms and has passed the Series 66, Series 63, 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
July 6, 2015 - December 31, 2016
AVANTAX INVESTMENT SERVICES, INC.
April 22, 2013 - April 3, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
June 15, 2011 - August 10, 2011
FIRST ALLIED SECURITIES, INC.
September 14, 2010 - May 20, 2011
PRUCO SECURITIES, LLC.
June 21, 2010 - September 9, 2010
NYLIFE SECURITIES LLC
June 25, 2007 - October 30, 2008
PRUCO SECURITIES, LLC.
May 3, 2005 - January 10, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 3, 2005 - January 10, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 23, 2003 - December 2, 2003
VALIC FINANCIAL ADVISORS, INC.
April 21, 2003 - December 2, 2003
VALIC FINANCIAL ADVISORS, INC.
May 31, 2002 - January 16, 2003
WADDELL & REED
May 6, 2002 - January 16, 2003
WADDELL & REED
February 6, 2001 - January 11, 2002
FIDELITY BROKERAGE 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
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.
