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Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2025-09-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Avantax Investment Services, Inc. | Delta | OH | 10/1997 | 09/2025 |
| Avantax Advisory Services | Delta | OH | 05/1998 | 09/2025 |
| Hawthorne Financial | Delta | OH | 05/2011 | Present |
| Bjd Associates Inc | Delta | OH | 11/1997 | Present |
| Avantax Insurance Agency, Llc | Delta | OH | 06/2018 | 09/2025 |
| Hawthorne Financial Llc | Delta | OH | 05/2011 | Present |
| York Township Trustees | Delta | OH | 02/2023 | 03/2024 |
| Cetera Wealth Services, Llc | Maumee | OH | 09/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 09/2025 | Present |
| York Township Trustees | Delta | OH | 04/2024 | Present |
1) Keyport Life Insurance Agent~'NIR'~408 Main St~Delta~OH~43515~Independent Insurance Agent~Insurance Sales Agent~9/26/2002~1hrs~1hrs~Selling fixed annuity products through Keyport Life 2) Hawthorne Financial~'NIR'~408 Main St~Delta~OH~43515~Other~Owner/Sole Proprietor~5/1/2011~120hrs~120hrs~accounting/bookkeeping/tax preparation 3) HAWTHORNE FINANCIAL LLC; POSITION: Owner/Sole Proprietor NATURE: investment/financial planning/accounting/bookkeeping/tax preparation business INVESTMENT RELATED: Yes; 120; 120; 05/01/2011; 408 Main St, Delta OH 43515; investment/financial planning/accounting/bookkeeping/tax preparation 4) ROTH'S LIL' DOGGY BOUTIQUE; POSITION: Owner NATURE: Selling dog related items such as leashes, treats, and collars. INVESTMENT RELATED: No; 8; 0; 09/28/2022; 33 Hawthorne Dr, Delta OH 43515; purchasing and making dog related items for sale at craft shows 5) YORK TOWNSHIP TRUSTEES POSITION: Fiscal Officer NATURE: Voted in by the citizens of York Township to the office of Fiscal Officer for York Township. INVESTMENT RELATED: No NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 30 START DATE: 04/01/2024 ADDRESS: 6955 Co Rd FG, Delta OH 43515, United States DESCRIPTION: Responsible for keeping accurate records of all accounts, transactions, budgets and proceedings for the township. 6) BJD ASSOCIATES INC POSITION: President NATURE: Real estate holding company INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 05/06/2025 ADDRESS: 408 Main St, Delta OH 43515, United States DESCRIPTION: 100% shareholder, collect rent and maintain buildings.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1998-06-22 |
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