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Detailed Report
KENNETH S HAMADA
CRD#: 2661699
IA
Investment Adviser
B
Broker
AVANTAX ADVISORY SERVICESCRD#: 104556 141 S MCCORMICK STREET
STE 106
PRESCOTT, AZ 86303
AVANTAX INVESTMENT SERVICES, INC.CRD#: 13686 141 S. McCormick St, Suite #106
Prescott, AZ 86303
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1998 - 2002 (4 years)2 FIRMS2002 - 2014 (11 years)2 FIRMS2014 - 2022 (8 years)2 FIRMS2022 - 2022 (<1 year)2 FIRMS2022 - Present (2 years)
Disclosure(s)
View By:
1/22/2025
Customer Dispute
Denied
12/1/2010
Customer Dispute
Withdrawn
6/10/2003
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 10/4/2022
B
Nevada 10/4/2022
IA
Arizona 10/6/2022
B
New Jersey 1/3/2024
B
Arkansas 1/12/2023
B
New York 5/9/2023
B
California 10/4/2022
B
Oklahoma 10/5/2022
B
Colorado 10/4/2022
B
Oregon 10/6/2022
B
Georgia 3/30/2023
B
Texas 10/4/2022
B
Illinois 10/4/2022
IA
Texas 2/1/2024
B
Kansas 10/4/2022
B
Virginia 1/26/2023
B
Minnesota 10/4/2022
B
Washington 10/4/2022
B
Missouri 10/4/2022
B
Wisconsin 10/4/2022
B
Nebraska 10/4/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AVANTAX ADVISORY SERVICES (CRD#:104556)
141 S MCCORMICK STREET STE 106, PRESCOTT, AZ 86303
600 Main St., Platte City, MO 64079
Registered with this firm since 10/6/2022
B
AVANTAX INVESTMENT SERVICES, INC. (CRD#:13686)
141 S. McCormick St, Suite #106, Prescott, AZ 86303
600 Main St., Platte City, MO 64079
Registered with this firm since 10/4/2022
Previous Registration(s)
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IA
 09/30/2022 - 10/05/2022 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) PRESCOTT, AZ
B
 09/30/2022 - 10/05/2022 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) PRESCOTT, AZ
IA
 07/11/2014 - 09/30/2022 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) Prescott, AZ
B
 07/11/2014 - 09/30/2022 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) Prescott, AZ
IA
 08/02/2002 - 07/22/2014 LPL FINANCIAL LLC (CRD#:6413) PRESCOTT, AZ
B
 08/02/2002 - 07/22/2014 LPL FINANCIAL LLC (CRD#:6413) PRESCOTT, AZ
IA
 07/02/1998 - 08/13/2002 UBS PAINEWEBBER INC. (CRD#:8174) FRESNO, CA
B
 05/08/1998 - 08/13/2002 UBS PAINEWEBBER INC. (CRD#:8174) WEEHAWKEN, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.