Patrick L. D'amore
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.
Patrick Louis D'amore, who also goes by Patrick Louis Damore, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1969. Patrick had worked at 15 firms and has passed the Series 63, SIE, Series 55, Series 1, Series 000, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2008 - December 4, 2017
AVANTAX INVESTMENT SERVICES, INC.
September 21, 2005 - October 19, 2006
RESOURCE HORIZONS GROUP LLC
April 19, 2001 - October 21, 2003
A. G. EDWARDS & SONS, INC.
June 11, 1999 - June 20, 2000
LYNCH, JONES & RYAN LLC
October 31, 1997 - May 4, 1998
WALSH MANNING SECURITIES, LLC
April 8, 1997 - June 17, 1997
BROADPOINT DESCAP
September 19, 1996 - November 7, 1997
CANTOR FITZGERALD & CO.
April 11, 1995 - April 22, 1996
MFR SECURITIES, INC.
March 19, 1992 - January 12, 1995
CHASE SECURITIES, INC.
July 24, 1990 - December 21, 1991
UNITED RESOURCES, INC.
October 22, 1984 - November 6, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
October 3, 1979 - September 7, 1984
TP ICAP GLOBAL MARKETS AMERICAS LLC
March 12, 1976 - October 28, 1979
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
March 21, 1974 - February 26, 1976
SCHRODER & CO. INC.
May 1, 1969 - April 27, 1974
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Series 55
Date: 10/8/1999
Limited Representative-Equity Trader ExamSeries 1
Date: 4/28/1969
Registered Representative ExaminationSeries 000
Date: 3/1/1969
General Securities Principal ExaminationSeries 40
Date: 9/16/1974
Registered Principal ExaminationCurrent 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.
