Michael G. James
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.
Michael George James was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1981. Michael had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 15 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2016 - December 1, 2022
AVANTAX INVESTMENT SERVICES, INC.
October 17, 2014 - September 9, 2015
SANDLAPPER SECURITIES, LLC
July 14, 2010 - November 6, 2012
BACKSTROM MCCARLEY BERRY & CO., LLC
December 21, 2007 - June 11, 2010
BLAYLOCK VAN, LLC
February 27, 2003 - December 21, 2007
ROBERT VAN SECURITIES, INC.
August 2, 2001 - October 31, 2001
ROBERT VAN SECURITIES, INC.
November 5, 1997 - August 2, 2001
IBIS SECURITIES, LLC
January 24, 1996 - December 18, 1996
FIRST MONTAUK SECURITIES CORP.
October 6, 1992 - January 25, 1996
TRANSGLOBAL INVESTMENTS INC.
February 23, 1988 - October 9, 1992
INTERFIRST CAPITAL CORPORATION
May 18, 1981 - January 29, 1984
PRUDENTIAL EQUITY GROUP, 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 15
Date: 3/7/1983
Foreign Currency Options 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.
