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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2026-01-09 |
Branch Locations
210 Jones St Ste. 104, Dubuque, IA 52001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2024-10-24 |
Branch Locations
210 Jones St Ste. 104, Dubuque, IA 52001 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Avantax Planning Partners, Inc | Dubuque | IA | 01/2011 | Present |
| Proequities, Inc | Dubuque | IA | 03/2011 | 09/2020 |
| Avantax Investment Services, Inc. | Dubuque | IA | 09/2020 | 09/2025 |
| 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 | CA | 08/2024 | Present |
| Avantax Insurance Agency And/Or Avantax Insurance Services. | Dubuque | IA | 09/2020 | 09/2025 |
| Cetera Investment Advisers, Llc | Shaumburg | IL | 01/2026 | Present |
1) HONKAMP KRUEGER FINANCIAL SERVICES POSITION: SERVICE LEADER NATURE: FINANCIAL SERVICES INVESTMENT RELATED: YES NUMBER OF HOURS: 160 INVESTMENT RELATED HOURS: 130 START DATE: 01/26/2011 ADDRESS: 3390 ASBURY ROAD, DUBUQUE IA 52002 DESCRIPTION: PRESENT AND HELP ENROLLMENT OF RETIREMENT PLAN SERVICES TO CLIENTS PRESENT FEATURES OF 401K PLANS AND HELP WITH ONLINE OR PAPER ENROLLMENT. CUSTOMER SERVICE WITH EXISTING RPS CLIENTS. 2) LIFEVANTAGE CORPORATION POSITION: DIRECT SALES DISTRIBUTOR NATURE: SALES INVESTMENT RELATED: NO NUMBER OF HOURS: 10 INVESTMENT RELATED HOURS: 0 START DATE: 10/09/2014 ADDRESS: 9785 S. MONROE ST., SUITE 300, SANDY UT 84070 DESCRIPTION: PRESENT INFORMATION ABOUT THE PRODUCTS TO INDIVIDUALS. SELL PRODUCTS. 3) L'BRI PURE AND NATURAL POSITION: Consultant NATURE: Promoting skin care products and receiving discounts and bonuses based on sales. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 06/19/2023 ADDRESS: 909 Perkins Drive, Mukwonago WI 53149, United States DESCRIPTION: Sharing products and their benefits, hosting parties, demonstrating how to use products.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-05-30 |
| S63 | Uniform Securities Agent State Law Examination | 2009-05-07 |
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