Harris J. Goldstein
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.
Harris Jonathan Goldstein was a registered financial professional .
Harris is a previously registered financial professional and started their career in finance in 1981. Harris had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2009 - May 29, 2018
AVANTAX INVESTMENT SERVICES, INC.
January 5, 2004 - December 31, 2008
THE INVESTMENT CENTER, INC.
August 19, 1999 - December 31, 2003
CADARET, GRANT & CO., INC.
May 6, 1988 - September 13, 1999
CREATIVE TAX PLANNERS, INC.
April 14, 1988 - May 6, 1988
CREATIVE TAX PLANNERS, INC.
October 12, 1987 - April 21, 1988
MORGAN STANLEY DW INC.
July 17, 1986 - December 1, 1987
PHILIPS, APPEL & WALDEN, INC.
May 1, 1986 - August 7, 1986
DONALD & CO. SECURITIES INC.
April 23, 1986 - May 9, 1986
HOMESTEAD SECURITIES, INC.
February 23, 1981 - September 4, 1981
ADVEST, 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.
