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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 | 2025-09-05 |
Branch Locations
3390 Asbury Road, Dubuque, IA 52002 • United States
Laurens, IA • United States
210 Jones St Ste. 104, Dubuque, IA 52001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2014-05-14 |
Branch Locations
Laurens, IA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hk Financial Services | Dubuque | IA | 03/2012 | 03/2021 |
| Avantax Planning Partners | Dubuque | IA | 01/2021 | Present |
| Avantax Advisory Services | Dubuque | IA | 03/2021 | 09/2025 |
| Cetera Wealth Services, Llc | El Segundo | CA | 05/2025 | Present |
| Avantax Investment Services | Dubuque | IA | 08/2023 | 09/2025 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 09/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-05-09 |
| S63 | Uniform Securities Agent State Law Examination | 2004-10-05 |
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