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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-09-05 |
| FL | RA | APPROVED | 2025-08-18 |
Branch Locations
Daytona Beach, FL • United States
3390 Asbury Road, Dubuque, IA 52002 • United States
210 Jones St Ste. 104, Dubuque, IA 52001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-07-12 |
| TX | RA | APPROVED | 2024-07-09 |
Branch Locations
Daytona Beach, FL • United States
210 Jones St Ste. 104, Dubuque, IA 52001 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Austin | TX | 11/2003 | 06/2022 |
| Charles Schwab Bank | Austin | TX | 02/2005 | 06/2022 |
| Avantax Investment Services, Inc. | Dallas | TX | 06/2022 | 09/2025 |
| Avantax Advisory Services | Dallas | TX | 06/2022 | 09/2025 |
| Avantax Planning Partners | Dubuque | IA | 07/2024 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 07/2025 | Present |
| Cetera Wealth Services, Llc | Daytona Beach | FL | 09/2025 | Present |
| Cetera Investment Advisers Llc | Dubuque | IA | 09/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-06-24 |
| S63 | Uniform Securities Agent State Law Examination | 1999-08-25 |
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