Edward G. Smith
Professional summary
Edward George Smith was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Edward is a previously registered financial professional and started their career in finance in 1975. Prior to being barred, Edward had worked at 10 firms, which includes AVANTAX INVESTMENT SERVICES INC., ROBERT THOMAS SECURITIES INC, FIRST AFFILIATED SECURITIES, FIRST AFFILIATED SECURITIES INC., ADAMS HESS MOORE & CO., LOEB PARTNERS, HORNBLOWER WEEKS NOYES & TRASK INCORPORATED, SINCLAIR STURGILL & CO. INC., HORNBLOWER & WEEKS - HEMPHILL NOYES INCORPORATED, SINCLAIR AND COMPANY INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 1997 - October 30, 1998
AVANTAX INVESTMENT SERVICES, INC.
March 25, 1992 - April 21, 1995
ROBERT THOMAS SECURITIES, INC
May 31, 1989 - December 6, 1991
FIRST AFFILIATED SECURITIES
April 1, 1979 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
November 30, 1978 - May 27, 1979
ADAMS, HESS, MOORE & CO.
January 18, 1978 - December 24, 1978
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
December 26, 1975 - February 10, 1976
SINCLAIR, STURGILL & CO., INC.
October 2, 1975 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
January 2, 1975 - December 26, 1975
SINCLAIR AND COMPANY 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
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