Mark E. Sirotnak

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CRD#: 1238196

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Mark Eugene Sirotnak, CFP®, who also goes by Mark E Sirotnak, was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 10, Series 9, Series 8 and Series 24 exams.

Aliases

Mark E Sirotnak

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

HD Vest Insurance Agency Inc~'IR'~6333 North State Hwy 161, 4th Floor~Irving~TX~75038~Equity Indexed Annuity~Agent~11/5/2015~2hrs~2hrs~I may have the ability to sell any, or all of the following products: variable annuities, fixed annuities, any/all types of index annuities, variable insurance (e.g. VUL/VIL).| STRAIT FINANCIAL POSITION: Certified Financial Planner and Investment Advisor affiliated with Avantax NATURE: This is a DBA of Frog Creek LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 120 START DATE: 01/01/2022 ADDRESS: 410 E Northwest Hwy, Grapevine TX 76051, United States DESCRIPTION: Educate, develop financial and retirement goals, determine risk tolerance, analyze investment options, provide recommendations, record keeping, regulatory and legal knowledge, ethics compliance associated with client engagements/ share office space with Moises Ospina whose with APP / In process of putting clients under APP due to buy outcompletion 8/1/2024

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1992

Experience

Past

October 3, 2022 - January 16, 2025

AVANTAX PLANNING PARTNERS, INC.

RIA

CRD#: 106237

Southlake, TX

Past

August 21, 2001 - January 16, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Southlake, TX

Past

June 25, 2001 - January 16, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Southlake, TX

Past

January 9, 1995 - June 27, 2001

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

Past

June 25, 1990 - September 30, 1994

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

June 27, 1989 - August 3, 1989

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

June 27, 1989 - August 3, 1989

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

January 6, 1987 - October 12, 1988

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

Past

May 14, 1986 - October 2, 1986

FIDELITY DISTRIBUTORS CORPORATION

CRD#: 6848

Past

February 17, 1984 - May 7, 1984

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AVANTAX PLANNING PARTNERS, INC.

AVANTAX PLANNING PARTNERS, INC. | HONKAMP KRUEGER FINANCIAL SERVICES INC | HK FINANCIAL SERVICES | AVANTAX RETIREMENT PLAN SERVICES

CRD#: 106237 / SEC#: 801-50939

RIA

Registered Investment Advisory firm - (1/17/1996 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

What does exam status mean?

State Security Law Exam

Series 63

Status Unavailable

Passed: 2/16/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 12/20/1986

General Securities Representative Examination

General Industry/Product Exam

Series 6

Status Unavailable

Passed: 2/16/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Status Unavailable

Passed: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Status Unavailable

Passed: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 8

Status Unavailable

Passed: 1/11/1988

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 24

Status Unavailable

Passed: 3/26/1987

General Securities Principal Examination

Current Firm

AVANTAX PLANNING PARTNERS, INC.

AVANTAX PLANNING PARTNERS, INC. | HONKAMP KRUEGER FINANCIAL SERVICES INC | HK FINANCIAL SERVICES | AVANTAX RETIREMENT PLAN SERVICES

CRD#: 106237 / SEC#: 801-50939

RIA

Registered Investment Advisory firm - (1/17/1996 Approved)

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Contact information

Main Address

210 Jones St Ste. 104, Dubuque, IA 52001

Mailing Address

Phone number

(563) 582-2855

Established

Firm type

Fiscal year end

# of Employees

261

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APP ADV PART 2A BROCHURE (6/18/2026)

Regulatory assets under management

Total Number of Accounts	13,797
AUM (Assets Under Management)	$ 7,569,387,166

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/20/2024	Cover Page	Report
11/28/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Mark E. Sirotnak

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

1ST GLOBAL CAPITAL CORP.

AVANTAX INVESTMENT SERVICES, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS CORPORATION

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

AVANTAX PLANNING PARTNERS, INC.

State Registrations and Notice Filings

Exams

Series 63

Passed: 2/16/1984

SIE

Passed: 10/1/2018

Series 7

Passed: 12/20/1986

Series 6

Passed: 2/16/1984

Series 10

Passed: 1/2/2023

Series 9

Passed: 1/2/2023

Series 8

Passed: 1/11/1988

Series 24

Passed: 3/26/1987

Current Firm

AVANTAX PLANNING PARTNERS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

AVANTAX PLANNING PARTNERS, INC.

TRUST BUT VERIFY

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