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Current Employers
Avantax Planning Partners, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
SD RA APPROVED 2016-06-29
  • SD RA
    APPROVED
    Since 2016-06-29

Branch Locations

909 St. Joseph Street, Suite 101, Rapid City, SD 57701 • 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
Casey Peterson & Associates, Ltd. Rapid City SD 10/2002 Present
  • 10/2002 → Present
    Casey Peterson & Associates, Ltd.
    Rapid City, SD
Other Businesses

Casey Peterson & Associates, LTD Current employer. 909 St. Joseph Street, Suite 101, Rapid City, SD.57701 Managing Shareholder of this firm. Regular CPA duties include meeting with clients for taxes. This is a CPA firm and not investment related firm. Start date for this business was October 2002. Approximate hours per month devoted to business is 192. Mostly during security trading hours. Duties include overseeing the healthcare industry services including audit, accounting and consulting services. CP Financial Services, currently a shareholder member of this entity which is investment related. Have not been active as a member since joining in 11/2005. No required duties now but new duties once registered, will be meeting with clients regarding investment management. Hours will be during regular working hours and will not involve additional work hours than listed above. This entity is using HKFS as the RIA for their business. Gillette Accounting Building, LLC - Member. This is not investment related. Address is 612 South Douglas Highway, Gillette, Wyoming 82716. Nature of business is real estate rental property. Position held is member which began in December 2013. No additional hours per week devoted to this entity. Any hours devoted would be during security trading hours. I am not a manager so basically I attend an annual meeting.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-06-17
  • S65 Uniform Investment Adviser Law Examination
    2016-06-17
Other Names
  • Mark Lyons

View on SEC IAPD

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