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DB

Donna L. Barnard

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CRD#: 5653949
DB

Professional summary

Donna Lynn Barnard was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Donna is a previously registered financial professional and started their career in finance in 2009. Prior to being barred, Donna had worked at 3 firms, which includes AVANTAX INVESTMENT SERVICES INC., SIGNAL SECURITIES INC., WOODMEN FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Donna Lynn Brooks | Donna Lynn Stargell

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 4, 2014 - May 22, 2017

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
Kilgore, TX
Past

April 15, 2013 - June 17, 2014

SIGNAL SECURITIES, INC.

BD
CRD#: 15916
KILGORE, TX
Past

May 28, 2009 - September 5, 2012

WOODMEN FINANCIAL SERVICES, INC.

BD
CRD#: 117365
KILGORE, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/2/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/22/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/30/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/27/2009
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AI
AVANTAX INVESTMENT SERVICES, INC.
1ST GLOBAL | HD VEST INVESTMENT SERVICES | HD VEST | H.D. VEST INVESTMENT SERVICES | H.D. VEST INVESTMENT SECURITIES, INC. | AVANTAX WEALTH MANAGEMENT | AVANTAX INVESTMENT SERVICES, INC. | AVANTAX

CRD#: 13686 / SEC#: , 8-29533

BD
Termination Requested by SEC on 09/26/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 04/13/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
AVANTAX WEALTH MANAGEMENT, INC.SOLE SHAREHOLDER
BUCHHEISTER, JEFFREY ROBERTCHIEF FINANCIAL OFFICER4709900
BURKOTT, DANIEL PAULCHIEF COMPLIANCE OFFICER4710068
DOWELL, RODNEY CAMMERONPRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT7376607
GOK, LISA ANNEGENERAL COUNSEL, SECRETARY5059738
HOLWEGER, KIMBERLEYPRINCIPAL OPERATIONS OFFICER1572778
MACKAY, TODD CHRISTOPHERDIRECTOR AND VICE PRESIDENT2799860
MIZUGUCHI, MAURACHIEF ACCOUNTING OFFICER5769181
NEARY, JOSEPH DANIELDIRECTOR AND VICE PRESIDENT2993505
WATTS, ANDREW DAVIDPRESIDENT4780880

Disclosures

Regulatory Event16
Arbitration4
Bond1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

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