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3390 Asbury Road, Dubuque, IA 52002-2801 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-11-28 |
| MN | RA | APPROVED | 2023-11-27 |
Branch Locations
3390 Asbury Road, Dubuque, IA 52002-2801 • United States
Prior Lake, MN • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Summit Wealth Advocates, Llc | Prior Lake | MN | 08/2010 | Present |
| Avantax Planning Partners, Inc. | Prior Lake | MN | 11/2023 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2025 | Present |
| Avantax Investment Services | Prior Lake | MN | 06/2023 | 09/2025 |
1) Avantax Planning Partners, Inc.|Investment-Related|Prior Lake, MN|Investment Adviser|Financial Planning Consultant |11/2023|80 hrs/month all of which are during securities trading hours|Duties: providing investment advice and financial planning services to clients. 2) Summit Wealth Advocates|Investment-Related|Prior Lake, MN|Investment Adviser|Wealth Advisor|08/2010|80 hrs/month all of which are during securities trading hours|Duties: providing investment advice and financial planning services to clients.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-05-15 |
| S63 | Uniform Securities Agent State Law Examination | 2001-04-25 |
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