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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2020-11-10 |
Branch Locations
5720 Zephyr Street, Arvada, CO 80002 • United States
47 Iowa Ct, Red Feather Lakes, CO 80545 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Avantax Investment Services, Inc. | Arvada | CO | 05/2000 | 11/2020 |
| Avantax Advisory Services | Arvada | CO | 03/2009 | 11/2020 |
| Canty's Financial Strategies Inc | Arvada | CO | 01/1994 | Present |
| National Guardian Life Insurance Company | Woodland Hills | CA | 02/2018 | 11/2020 |
| Avantax Insurance Agency, Llc | Arvada | CO | 10/2018 | 11/2020 |
| Commonwealth Financial Network | Waltham | MA | 11/2020 | Present |
1. Fixed insurance sales; as of 11/10/2020; 5% of time spent during business hours; Conducted at branch location; Investment related. 2. Owner, Canty's Financial Strategies, Inc., a Private Entity established to facilitate Securities, advisory, insurance, and tax preparation Business; as of 11/10/2020; 100% of time spent during business hours; Conducted at branch; Investment related. 3. Owner of rental property located in Arvada, CO; and as of 12/01/2001; Less than 1% of time spent during business hours; Not conducted at branch location; Investment related. 4. Tax Preparation and payroll services, Canty's Financial Strategies, Inc.; as of 10/07/2020; 40% of time spent during business hours; Conducted at branch; Not investment related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2010-08-17 |
| S65 | Uniform Investment Adviser Law Examination | 2009-01-31 |
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