Eric V. Zeigler
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.
Eric Vincent Zeigler was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2001. Eric had worked at 13 firms and has passed the Series 63, Series 99TO, SIE, Series 87, Series 7, Series 6, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2024 - March 27, 2025
AVANTAX INVESTMENT SERVICES, INC.
April 3, 2024 - March 27, 2025
CETERA INVESTMENT SERVICES LLC
April 3, 2024 - March 27, 2025
CETERA FINANCIAL SPECIALISTS LLC
April 3, 2024 - March 27, 2025
CETERA ADVISORS LLC
April 3, 2024 - March 27, 2025
CETERA WEALTH SERVICES, LLC
April 27, 2021 - February 7, 2024
HARBOR FUNDS DISTRIBUTORS, INC.
August 15, 2012 - April 16, 2021
EATON VANCE DISTRIBUTORS, INC.
August 7, 2006 - August 21, 2012
CANTELLA & CO., INC.
July 30, 2004 - December 7, 2005
WALNUT STREET SECURITIES, INC.
July 30, 2004 - December 7, 2005
NEW ENGLAND SECURITIES
July 30, 2004 - December 7, 2005
METROPOLITAN LIFE INSURANCE COMPANY
July 30, 2004 - December 7, 2005
MSI FINANCIAL SERVICES, INC.
October 8, 2001 - July 14, 2004
STATE STREET RESEARCH INVESTMENT 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 99TO
Date: 12/19/2023
Operations Professional ExaminationCurrent Firm
AVANTAX INVESTMENT SERVICES, INC.
CRD#: 13686 / SEC#: , 8-29533
Contact information
FINRA licenses (3 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.
