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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2025-12-09 |
Branch Locations
3390 Asbury Road, Dubuque, IA 52002 • United States
Asbury, IA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Honkamp Krueger Financial Services Inc | Debuque | ID | 10/2015 | Present |
| Proequities, Inc. | Debuque | IA | 11/2015 | 09/2020 |
| Avantax Investment Services, Inc. | Dubuque | IA | 09/2020 | 09/2025 |
| Cetera Investment Services Llc | Saint Cloud | MN | 08/2024 | Present |
| Cetera Financial Specialists Llc | Schaumburg | IL | 08/2024 | Present |
| Cetera Advisors Llc | Greenwood Village | CO | 08/2024 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 08/2024 | Present |
| Cetera Investment Advisers, Llc | Schaumburg | IL | 12/2025 | Present |
1) HK FINANCIAL SERVICE POSITION: VP of Retirement Plan Services NATURE: 401K service INVESTMENT RELATED: Yes NUMBER OF HOURS: 175 SECURITIES TRADING HOURS: 175 START DATE: 10/05/2015 ADDRESS: 3390 Asbury Road, Dubuque IA 52002 DESCRIPTION: Managerail oversight of opertional and customer facing associates. 2) UNITED WAY OF DUBUQUE AREA TRI-STATES POSITION: Board of Directors member NATURE: Non-profit INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/20/2018 ADDRESS: 215 W. 6th Street, Dubuque IA 52001, United States DESCRIPTION: Serve as a community leader to help drive growth of the organization; outreach to community to support financial campaigns and causes that will be funded financially. 3) CHURCH OF THE RESURRECTION POSITION: Volunteer NATURE: Capital Campaign Chair member INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 11/13/2019 ADDRESS: 4300 Asbury Rd, Dubuque IA 52002, United States DESCRIPTION: Member of campaign committee for new school funding. 4) NAME OF OTHER BUSINESS: UNITED WAY DUBUQUE AREA TRI-STATES; INVESTMENT RELATED: NO; ADDRESS: 215 WEST 6TH STREET DUBUQUE, IA 52001; NATURE OF BUSINESS: NON-PROFIT START DATE: 05/2026; POSITION/TITLE/RELATIONSHIP: OFFICER/BOARD OF DIRECTORS; APX NUMBER OF HOURS PER WEEK: 1-2; APX NUMBER OF HOURS DURING TRADING HOURS: 1-2; BRIEF DESCRIPTION OF DUTIES: ATTEND MEETINGS WITH FINANCE COMMITTEE, MONITOR FINANCIAL STATEMENTS, PRESENT FINDINGS TO BOARD, CREATE ANNUAL BUDGET, ALL RESPONSIBILITIES ARE SUPPORTED IN CONJUNCTION WITH FULL BOARD;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-12-03 |
| S63 | Uniform Securities Agent State Law Examination | 2003-04-28 |
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