Gary S. Mcwaters
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.
Gary Stephen Mcwaters, who also goes by Gary S Mcwaters, Gary S. Mcwaters, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 2001. Gary had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2014 - November 16, 2015
AVANTAX INVESTMENT SERVICES, INC.
June 5, 2012 - January 2, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 12, 2009 - August 9, 2010
FIRST STATE FINANCIAL MANAGEMENT, INC.
December 11, 2008 - August 14, 2009
ALLSTATE FINANCIAL SERVICES, LLC
February 7, 2005 - December 2, 2008
FARMERS FINANCIAL SOLUTIONS, LLC
June 3, 2004 - January 12, 2005
WOODBURY FINANCIAL SERVICES, INC.
October 11, 2001 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
October 11, 2001 - February 5, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 9, 2001 - September 7, 2001
PRUCO SECURITIES, 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.
