Robert C. Beisel
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.
Robert Claiborne Beisel, who also goes by Bob Claiborne Beisel, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2002. Robert had worked at 10 firms and has passed the Series 66, SIE, Series 7, Series 24 and Series 10 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 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
June 29, 2023 - December 3, 2025
CETERA INVESTMENT ADVISERS LLC
October 27, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
October 26, 2021 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
October 26, 2021 - December 3, 2025
CETERA WEALTH SERVICES, LLC
October 26, 2021 - December 3, 2025
CETERA INVESTMENT SERVICES LLC
October 26, 2021 - December 3, 2025
CETERA FINANCIAL SPECIALISTS LLC
October 26, 2021 - December 3, 2025
CETERA ADVISORS LLC
October 1, 2012 - October 16, 2021
J.P. MORGAN SECURITIES LLC
October 1, 2012 - October 16, 2021
J.P. MORGAN SECURITIES LLC
November 21, 2006 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
November 20, 2006 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
March 24, 2004 - November 13, 2006
THRIVENT INVESTMENT MANAGEMENT INC.
June 21, 2002 - November 13, 2006
THRIVENT INVESTMENT MANAGEMENT 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
Current 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.
