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210 Jones St Ste. 104, Dubuque, IA 52001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2018-06-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Gwfs Equities, Inc. | Denver | CO | 12/2013 | 04/2018 |
| Avantax Planning Partners, Inc | Dubuque | IA | 04/2018 | Present |
| Proequities, Inc. | Dubuque | IA | 04/2019 | 09/2020 |
| Avantax Investment Services, Inc. | Dubuque | IA | 09/2020 | 09/2025 |
| Avantax Insurance Agency And/Or Avantax Insurance Services. | Dubuque | IA | 02/2021 | 09/2025 |
| Cetera Wealth Services, Llc | Dubuque | IA | 09/2025 | Present |
HK FINANCIAL SERVICES, INC. - INVESTMENT RELATED - 3390 ASBURY ROAD, DUBUQUE, IA 52002 - ADVISORY SERVICES - CLIENT DEVELOPMENT SPECIALIST - START DATE: 04/2018 - 160 HPM WHICH ARE ALL DURING TRADING HOURS - SUPPORT CLIENTS OF OUR CPA FIRMS AND OF HK FINANCIAL SERVICES. HKFS ;POSITION: Financial Planner NATURE: Financial Planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 35 START DATE: 04/02/2018 ADDRESS: 3390 Asbury Rd, Dubuque IA 52001, United States DESCRIPTION: Assist financial advisers by building financial plans
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-06-07 |
| S63 | Uniform Securities Agent State Law Examination | 2014-02-25 |
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