James Henry Spiegelberg

Employer firm

Avantax Planning Partners, Inc. CRD 106237

$7.57B regulatory AUM 2 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/1997 → Present
  James H Spiegelberg, Cpa.,Sc
  Wauwatosa, WI
• 01/1997 → Present
  Heritage Professional Group, Inc.
  Wauwatosa, WI
• 08/2001 → 09/2020
  Proequities
  Birmingham, AL
• 08/2001 → Present
  Avantax Planning Partners, Inc.
  Dubuque, IA
• 09/2020 → 09/2025
  Avantax Investment Services, Inc.
  Wauwatosa, WI
• 01/1994 → Present
  James H Spiegelberg Cpa Llc
  Wauwatosa, WI
• 10/1999 → 09/2025
  Avantax Insurance Agency And/Or Avantax Insurance Services
  Oconomowoc, WI
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Wauwatosa, WI

Other Businesses

1) DBA AND INSURANCE; SPIEGELBERG FINANCIAL SERVICES; INVESTMENT RELATED; 11933 W BURLEIGH ST WAUWATOSA, WI 53222; TAX, CONSULTING, AND ACCOUNTING; OWNER; 01/1997; 150 HRS/MO. 2) SPIEGELBERG FINANCIAL SERVICES; INVESTMENT RELATED; 11933 W BURLEIGH ST WAUWATOSA, WI 53222; IDENTIFY AND DISCUSS ESTATE PLANNING OPPORTUNITIES WITH CLIENTS. DO NOT PREPARE ANY TRUST DOCUMENTS; OWNER; STARTED 01/2006; 4 HRS/MO. 3) SPIEGELBERG FINANCIAL SERVICES POSITION: OWNER NATURE: INSURANCE INVESTMENT RELATED: YES NUMBER OF HOURS: 2 INVESTMENT RELATED HOURS: 2 START DATE: 07/02/2001 ADDRESS: 11933 W BURLEIGH ST, WAUWATOSA WI 53222 DESCRIPTION: DO PROPOSALS FOR CLIENTS INTERESTED IN LIFE, DISABILITY, OR LT CARE INSURANCE. CONVERT A SMALL NUMBER OF PROPOSALS INTO POLICIES,;OFFER SUITABLE ANNUITIES CLIENTS 4) JAMES H SPIEGELBERG CPA LLC POSITION: Owner NATURE: Provide tax, accounting, payroll, and consulting services to individuals, small businesses, and trusts. INVESTMENT RELATED: No NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 130 START DATE: 01/01/1994 ADDRESS: 11933 W Burleigh St, Wauwatosa WI 53222, United States DESCRIPTION: Prepare and review individual, business, and trust tax returns. Provide consulting services and tax planning to all clients. Oversee accounting and payroll functions. 5) 1895 BANCORP OF WI - BCOW POSITION: Outside Director NATURE: Outside director on the Board of Directors INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 01/01/2007 ADDRESS: 7001 W Edgerton Ave, Greenfield WI 53220, United States DESCRIPTION: Attend board meetings, vote on required items, Chairman of the Audit Committee, member of various other committees.

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-10-08
• S63 Uniform Securities Agent State Law Examination
  1998-12-23

Other Names

• Jim Spiegelberg
• Jim Spiegelberg