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Current Employers
Avantax Planning Partners, Inc.

210 Jones St Ste. 104, Dubuque, IA 52001 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-02-20
  • TX RA
    APPROVED
    Since 2024-02-20

Branch Locations

210 Jones St Ste. 104, Dubuque, IA 52001 • United States

Lantana, TX • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co., Inc. Manchester NH 09/2007 11/2022
Charles Schwab Bank Manchester NH 08/2019 11/2022
Avantax Investment Services, Inc. Dallas TX 11/2022 09/2025
Avantax Planning Partners Dallas TX 11/2022 Present
The Lay Collective, Llc Lantana TX 04/2025 Present
Argyle Business Association Argyle TX 06/2025 Present
Cetera Wealth Services, Llc El Segundo CA 09/2025 Present
  • 09/2007 → 11/2022
    Manchester, NH
  • 08/2019 → 11/2022
    Charles Schwab Bank
    Manchester, NH
  • 11/2022 → 09/2025
    Avantax Investment Services, Inc.
    Dallas, TX
  • 11/2022 → Present
    Avantax Planning Partners
    Dallas, TX
  • 04/2025 → Present
    The Lay Collective, Llc
    Lantana, TX
  • 06/2025 → Present
    Argyle Business Association
    Argyle, TX
  • 09/2025 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
Previous Registrations
  • 2019-11-21 → 2022-12-05
    Englewood, CO
    Englewood, CO
    Lone Tree, CO
    Phoenix, AZ
    Westlake, TX
    Lone Tree, CO
    Phoenix, AZ
    Lone Tree, CO
    Fort Worth, TX
    West Hartford, CT
    Bedford, NH
  • 2022-11-25 → 2022-12-05
    Avantax Advisory Services
    Dallas, TX
  • 2022-05-06 → 2022-10-14
    Td Ameritrade, Inc.
    Omaha, NE
    Manchester, NH
Other Businesses

1) Rental Properties - Investment Related - 4086 N. Orleans St. Denver, CO 80249 - Real Estate/Property Management - Landlord - 03/01/2021 - Less than 20 a month - 0 during securities trading hours - Landlord for rental home. 2) Rental Property - Investment Related - 5541 Nepal St. Denver, CO 80249 - Real Estate/Property Management - Landlord - 03/01/2021 - Less than 20 a month - 0 during securities trading hours - Landlord for rental home. 3) NEPAL LLC POSITION: Agent NATURE: Rental property INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 04/21/2021 ADDRESS: 29 Elk Drive, Bedford NH 03110, United States DESCRIPTION: Standard landlord duties 4) ORLEANS STREET LLC POSITION: Agent NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 04/21/2021 ADDRESS: 29 Elk Drive, Bedford NH 03110, United States DESCRIPTION: Standard Landlord duties 5) THE LAY COLLECTIVE, LLC POSITION: Territory Director NATURE: Local magazine targeting new home buyers allowing them know what's available in their community. INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 10 START DATE: 04/01/2025 ADDRESS: 8860 Weston Ln., Lantana TX 76226, United States DESCRIPTION: Working with local business owners to help them market to new home buyers moving into the area. 6) ARGYLE BUSINESS ASSOCIATION POSITION: member NATURE: Networking for local businesses INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 06/13/2025 ADDRESS: 306 N US Hwy 377, Argyle TX 76226, United States DESCRIPTION: member to attend and meet ppl in the community

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-11-21
S63 Uniform Securities Agent State Law Examination 2010-03-12
  • S65 Uniform Investment Adviser Law Examination
    2019-11-21
  • S63 Uniform Securities Agent State Law Examination
    2010-03-12
Other Names
  • Darrah L Alquist
  • Darrah Lay

View on SEC IAPD

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