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Bernadette Teresa Princiotta

Avantax Investment Services, Inc.

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About Bernadette Teresa Princiotta

Bernadette Teresa Princiotta is a financial advisor registered with Avantax Investment Services, Inc. Bernadette has over 30 years of experience in the financial services industry. Bernadette's previous employers include Morgan Stanley, UBS Financial Services Inc., Puma Capital, LLC, UBS Securities LLC, and Fiduciary Financial Services Corp. Bernadette holds Series 7, 9, 10, 24, 55, and 63 licenses.

Firm Information

Bernadette Princiotta is currently registered with Avantax Investment Services, Inc.. Avantax Investment Services, Inc. is a Corporation formed in April 1983. The firm is registered with the SEC and in 53 states, providing services across the United States.

Not reported

Assets Under Management

Not reported

Total Clients

482

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Bernadette Princiotta’s Registration & Firm History

NY

06/14/2017 - Present

Avantax Investment Services, Inc. (ELMSFORD NY)

NY

06/20/2014 - 10/29/2015

MORGAN STANLEY (PURCHASE NY)

NY

05/10/2012 - 06/05/2014

UBS FINANCIAL SERVICES INC. (NEW YORK NY)

NY

12/01/2009 - 12/07/2011

PUMA CAPITAL, LLC (NEW YORK NY)

NY

03/14/2001 - 05/28/2008

UBS SECURITIES LLC (NEW YORK NY)

NJ

04/30/1999 - 08/01/2007

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

CA

01/28/1998 - 05/10/1999

FIDUCIARY FINANCIAL SERVICES CORP. (SAN MATEO CA)

NY

12/21/1991 - 03/08/1996

ROBERT FLEMING INC. (NEW YORK NY)

NY

06/24/1985 - 05/16/1990

SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)

NA

11/30/1984 - 03/22/1985

CRALIN & CO., INC.

NA

05/24/1984 - 12/12/1984

OPPENHEIMER & CO., INC.

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Licenses & Designations

BC

Issued 02/25/1985

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/07/2005

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 02/02/2005

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 06/19/2002

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/19/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 05/19/1984

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Bernadette Teresa Princiotta.
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