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210 Jones St Ste. 104, Dubuque, IA 52001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-08-09 |
| IA | RA | APPROVED | 2021-09-10 |
Branch Locations
210 Jones St Ste. 104, Dubuque, IA 52001 • United States
Dyersville, IA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Prudential | Dubuque | IA | 02/2009 | 07/2020 |
| Prudential Investment Management Services, Llc | Dubuque | IA | 02/2009 | 07/2020 |
| Avantax Investment Services, Inc. | Dallas | TX | 08/2020 | 09/2025 |
| Avantax Planning Partners | Dubuque | IA | 08/2020 | Present |
| Cetera Investment Services Llc | Saint Cloud | MN | 08/2024 | Present |
| Cetera Financial Specialists Llc | Schaumburg | IL | 08/2024 | Present |
| Cetera Advisors Llc | Greenwood Village | CO | 08/2024 | Present |
| Cetera Wealth Services, Llc | El Segundo | CO | 08/2024 | Present |
| Cetera Wealth Services, Llc | Dubuque | IA | 09/2025 | Present |
BECKMAN MUSIC DEPARTMENT PARENTS ASSOCIATION POSITION: Treasurer NATURE: Volunteer position for an organization at my children's school. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2025 ADDRESS: Beckman Catholic Jr Sr High School, 1325 9th St SE, Dyersville IA 52040, United States DESCRIPTION: Attend monthly meetings. Responsible for getting concession stands ready before events. Working at the concession stand during events. Depositing cash. Writing checks.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-09-10 |
| S63 | Uniform Securities Agent State Law Examination | 2009-04-17 |
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