Mattie A. Mitchell Adams
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.
Mattie Anne Mitchell Adams, who also goes by Mattie A Mitchell, Mattie Anne Mitchell, Mattie Mitchell, Mattie A Mitchell Adams, was a registered financial professional .
Mattie is a previously registered financial professional and started their career in finance in 2005. Mattie had worked at 5 firms and has passed the Series 66, 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
June 16, 2016 - April 3, 2017
AVANTAX INVESTMENT SERVICES, INC.
December 23, 2010 - August 12, 2014
VOYA FINANCIAL ADVISORS, INC.
December 17, 2010 - August 12, 2014
VOYA FINANCIAL ADVISORS, INC.
September 23, 2008 - December 31, 2010
VOYA FINANCIAL PARTNERS, LLC
September 17, 2008 - December 31, 2010
VOYA FINANCIAL PARTNERS, LLC
August 24, 2006 - June 25, 2008
MSI FINANCIAL SERVICES, INC.
June 19, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
June 19, 2006 - June 25, 2008
MSI FINANCIAL SERVICES, INC.
November 2, 2005 - January 19, 2006
METROPOLITAN LIFE INSURANCE COMPANY
November 2, 2005 - January 19, 2006
MSI FINANCIAL 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
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.
