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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
210 Jones St Ste. 104, Dubuque, IA 52001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2018-04-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| American Trust & Savings Bank | Dubuque | IA | 04/2014 | 05/2017 |
| Atcapital Management | Dubuque | IA | 10/2015 | 05/2017 |
| Hk Financial Services, Inc. | Dubuque | IA | 04/2018 | 01/2021 |
| Cottingham & Butler Insurance Agency | Dubuque | IA | 06/2017 | 01/2018 |
| Unemployed | Dubuque | IA | 02/2018 | 03/2018 |
| Avantax Planning Partners | Dubuque | IA | 01/2021 | Present |
| Avantax Advisory Services | Dubuque | IA | 03/2021 | 09/2025 |
| Avantax Insurance Agency And/Or Avantax Insurance Services | Dubuque | IA | 03/2025 | 09/2025 |
| Avantax Investment Services | Dubuque | IA | 08/2023 | 09/2025 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 09/2025 | Present |
I am under consideration to be board member for Albrecht Acres located at 14837 Sherrill Rd, Sherrill, IA 52073. January 28, 2022 is when my name went up for consideration. This is not investment related. I would provide oversight and support. My time devoted would be be 1-5 hours per month during non-business hours. AVANTAX INSURANCE AGENCY AND/OR AVANTAX INSURANCE SERVICES POSITION: Agent NATURE: Avantax Insurance Entities for selling Avantax approved Insurance products. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/17/2025 ADDRESS: 3390 Asbury Road, Dubuque IA 52002, United States DESCRIPTION: Offer and sale of insurance products through Avantax Insurance Entities that are approved through Avantax featured partners.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-01-26 |
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