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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 | 2024-08-12 |
Branch Locations
210 Jones St Ste. 104, Dubuque, IA 52001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2014-10-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Avantax Planning Partners, Inc | Dubuque | IA | 10/2012 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 08/2024 | Present |
| Avantax Investment Services | Dubuque | IA | 08/2023 | 09/2025 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 08/2024 | Present |
FAMILY BEER AND LIQUOR 2020 US HIGHWAY 20 W EAST DUBUQUE, IL 61025 RETAIL STORE, POSITION IS CASHIER, 45 HOURS PER MONTH, NONE DURING SECURITIES TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-10-16 |
| S63 | Uniform Securities Agent State Law Examination | 2008-05-02 |
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