Antoine Rogers
Professional summary
Antoine Rogers III was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Antoine is a previously registered financial professional and started their career in finance in 2005. Prior to being barred, Antoine had worked at 5 firms, which includes AVANTAX INVESTMENT SERVICES INC., USAA FINANCIAL ADVISORS INC., NYLIFE SECURITIES LLC, TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES LLC, FIDELITY BROKERAGE SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2012 - December 20, 2012
AVANTAX INVESTMENT SERVICES, INC.
June 25, 2012 - August 17, 2012
USAA FINANCIAL ADVISORS, INC.
June 3, 2008 - May 30, 2012
NYLIFE SECURITIES LLC
August 8, 2007 - May 20, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 4, 2005 - May 7, 2007
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
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