Steven Filanowicz
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.
Steven Filanowicz, who also goes by Steven Mark Filanowicz, Steven Filanowicz, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2005. Steven had worked at 6 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 4, 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
December 12, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
June 29, 2023 - April 16, 2026
CETERA INVESTMENT ADVISERS LLC
September 22, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
June 9, 2021 - April 16, 2026
CETERA WEALTH SERVICES, LLC
February 12, 2018 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
October 3, 2017 - January 30, 2018
OSAIC INSTITUTIONS, INC.
September 19, 2013 - September 29, 2017
VOYA FINANCIAL ADVISORS, INC.
January 4, 2011 - September 19, 2013
DIRECTED SERVICES LLC
July 11, 2005 - November 29, 2010
DIRECTED 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
Series 52TO
Date: 10/25/2021
Municipal Securities Representative 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 | 17 |
| 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.
