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210 Jones St Ste. 104, Dubuque, IA 52001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2023-11-06 |
Branch Locations
210 Jones St Ste. 104, Dubuque, IA 52001 • United States
6920 Pointe Invereness Way Suite 300, Fort Wayne, IN 46804 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Baden, Gage & Schroeder, Llc | Fort Wayne | IN | 01/1995 | Present |
| Avantax Planning Partners, Inc. | Fort Wayne | IN | 08/2023 | Present |
1. BADEN, GAGE & SCHROEDER, LLC POSITION: Director NATURE: Baden Gage & Schroederis one of the largestcertified public accounting and business consulting firms based in Indiana. Since the firm's founding in 1980, we have grown to a staff of over 50 people dedicated to helping clients improve their profitability. The firm provides audit and assurance services, tax compliance and consulting to clients primarily in Northeast Indiana. INVESTMENT RELATED: No NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 130 START DATE: 01/01/1995 ADDRESS: 6920 Pointe Inverness Way, Suite 300, Fort Wayne IN 46804, United States DESCRIPTION: Managing DirectorResponsibilities include: Overall firm management Working with the executive committee to set organization goals Managing book of business Monitor client relationships Monitoring firm performance? 2. ERIN'S HOUSE FOR GRIEVING CHILDREN POSITION: Board Member NATURE: Erin's House for Grieving Children (EH) is a non-profit based in Fort Wayne, Indiana. EH has provided a safe, nurturing,and comfortable environment for children to process their grief. They learn how to express their emotions, share theirfeelings, and reinvest back into their lives. They do this by spending time with other children who understand theirgrief. The Erin's House program reduces the negative consequences of unresolved grief. Time and time again, we haveseen these children grow into compassionate, respectful, and productive young adults. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2025 ADDRESS: 5670 YMCA Park Dr. West, Fort Wayne IN 46835, United States DESCRIPTION: I have been asked to be a board member effecting in Jan 2025. As a board member I will: attend all board and committee meetings and functions, Be informed about the organization's mission, services, policies, and programs.Review agenda and supporting materials prior to board and committee meetings. I will remain on the finance committee. The finance committee is responsible for: Approving the annual budgetMonitoring monthly financial statementsOverseeing financial reportingReview financial policiesProvide support to EH staff as needed
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-11-06 |
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