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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2025-09-05 |
| CA | RA | APPROVED | 2025-09-05 |
| TX | RA | APPROVED_RES | 2025-09-05 |
Branch Locations
13839 W. Bell Road Suite 100, Surprise, AZ 85374 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Avantax Investment Services, Inc. | Seal Beach | CA | 04/2014 | 09/2025 |
| Lenning & Co., Inc | Seal Beach | CA | 06/2014 | 12/2024 |
| Avantax Insurance Agency, Llc. | Seal Beach | CA | 10/2016 | 09/2025 |
| Nicholas Lenning | Surprise | AZ | 09/2020 | 10/2021 |
| Lenning Tax And Accounting Services Inc | Seal Beach | CA | 06/2014 | 08/2025 |
| Lenning & Associates | Surprise | AZ | 11/2021 | Present |
| Cetera Wealth Services, Llc | Surprise | AZ | 09/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 09/2025 | Present |
1) Lenning & Co., Inc 13924 Seal Beach Blvd, Ste C~Seal Beach~CA~90740~Tax Preparation/Accounting~Other~6/1/2014~120hrs~60hrs~Accounting, Bookkeeping, and tax preparation. 2) LENNING & ASSOCIATES POSITION: Owner NATURE: Dba for Investment and tax business INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 130 START DATE: 09/09/2020 ADDRESS: 13839 W. Bell Rd Suite 100, Surprise AZ 85374, United States DESCRIPTION: Preparation of tax returns and financial services 3) NICHOLAS LENNING DBA LENNING & ASSOCIATES POSITION: Owner NATURE: Tax Preparation, Bookkeeping, Wealth management, investment services INVESTMENT RELATED: Yes NUMBER OF HOURS: 90 SECURITIES TRADING HOURS: 90 START DATE: 12/01/2019; ADDRESS: 13839 W. Bell Rd Suite 100, Surprise AZ 85374, US; Owner Employee Preparing returns and bookkeeping for clients 4) LENNING WEALTH MANAGMENT LLC POSITION: Owner NATURE: Wealth Management LLC was created to hold my investment business INVESTMENT RELATED: No NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 60 START DATE: 03/01/2023; 13839 W. Bell Road, Suite 100, Surprise AZ 85374, US; will be an umbrella for the financial advising and wealth management that I already provide.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-09-25 |
| S63 | Uniform Securities Agent State Law Examination | 2015-11-28 |
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