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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2025-09-05
TX RA APPROVED_RES 2025-09-05
  • IN RA
    APPROVED
    Since 2025-09-05
  • TX RA
    APPROVED_RES
    Since 2025-09-05

Branch Locations

Fishers, IN • United States

8604 Allisonville Road Suite 390, Indianapolis, IN 46250 • United States

Avantax Planning Partners, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-03-12
IN RA APPROVED 2021-02-08
  • TX RA
    APPROVED_RES
    Since 2025-03-12
  • IN RA
    APPROVED
    Since 2021-02-08

Branch Locations

8604 Allisonville Road Suite 390, Indianapolis, IN 46250 • United States

Fishers, IN • 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
Edward Jones St Louis MO 10/2009 05/2019
Avantax Planning Partners, Inc. Dubuque IA 02/2021 Present
Thurston Springer Indianapolis IN 06/2019 02/2021
Avantax Investment Services, Inc. Dallas TX 02/2021 09/2025
Avantax Advisory Services Dallas TX 02/2025 09/2025
Avantax Insurance Agency And/Or Avantax Insurance Services Indianapolis IN 02/2021 09/2025
Cetera Wealth Services, Llc Indianapolis IN 09/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 09/2025 Present
  • 10/2009 → 05/2019
    St Louis, MO
  • 02/2021 → Present
    Dubuque, IA
  • 06/2019 → 02/2021
    Thurston Springer
    Indianapolis, IN
  • 02/2021 → 09/2025
    Avantax Investment Services, Inc.
    Dallas, TX
  • 02/2025 → 09/2025
    Avantax Advisory Services
    Dallas, TX
  • 02/2021 → 09/2025
    Avantax Insurance Agency And/Or Avantax Insurance Services
    Indianapolis, IN
  • 09/2025 → Present
    Cetera Wealth Services, Llc
    Indianapolis, IN
  • 09/2025 → Present
    Schaumburg, IL
Previous Registrations
  • 2025-02-13 → 2025-09-05
    Avantax Advisory Services
    Indianapolis, IN
    Dallas, TX
    Fishers, IN
  • 2019-06-26 → 2021-02-02
    Thurston, Springer, Miller, Herd & Titak, Inc.
    Indianapolis, IN
    Indianapolis, IN
  • 2020-08-25 → 2021-02-02
    Indianapolis, IN
  • 2010-01-04 → 2019-05-10
    Indianapolis, IN
    St Louis, MO
Other Businesses

1) Challenge Entertainment Type of business: Bar Trivia Indianapolis, IN Start date: 3/23/2017 Trivia Jockey, non-owner Hours per week: 3 Hours during trading: 0 Run weekly trivia game at Bier Brewery in Carmel, IN. Encourage patrons to play, read questions, keep score. 2) ALPHA KAPPA LAMBDA POSITION: National Executive Council NATURE: Advisory board for the national fraternity of Alpha Kappa Lambda. We oversee, organize, and budget for the operations and expansion of fratneral chapters on various college campuses. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2019 ADDRESS: 354 Gradle Dr, Carmel IN 46032, United States DESCRIPTION: I am an at-large member and part of the expansion committee.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-12-30
  • S66 Uniform Combined State Law Examination
    2009-12-30
Other Names
  • Dan Maloney
  • Daniel Maloney

View on SEC IAPD

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