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FIRM PROFILE
Overview
AVANTAX INVESTMENT SERVICES, INC. is located at null, null, null null and was first established at Dallas, Texas in 04/13/1983. After operating for 43 years, AVANTAX INVESTMENT SERVICES, INC. has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of AVANTAX INVESTMENT SERVICES, INC.’s clients are individuals and 0% of their clients are high net worth individuals. AVANTAX INVESTMENT SERVICES, INC. has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at AVANTAX INVESTMENT SERVICES, INC. are registered to handle securities or provide financial advice. The firm has 21 disclosures, 16 being regulatory events, 1 being client events, and 4 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access AVANTAX INVESTMENT SERVICES, INC.‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at AVANTAX INVESTMENT SERVICES, INC.. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for AVANTAX INVESTMENT SERVICES, INC. Comes From
Understanding the Statistics for AVANTAX INVESTMENT SERVICES, INC. and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
Small
Texas since 04/13/1983
Corporation
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | 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 |
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Advisor's working at AVANTAX INVESTMENT SERVICES, INC.
Angela Wills Hamilton
John Charles Himmelspach
Jonathan Miller
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