Richard J. Hageman

AVANTAX PLANNING PARTNERS

NEENAH, WI

Some features on this profile are disabled

CRD#: 2184995

Professional summary

Richard John Hageman, CFP®, who also goes by Richard Hageman, Rick Hageman, is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Neenah, Wisconsin and CETERA WEALTH SERVICES, LLC located in Neenah, Wisconsin.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 3 exams.

Question & Answer

What are your service offerings?

Tax Planning

Retirement Planning

Investment Planning

Insurance Planning

Business Succession Planning

Comprehensive Financial Planni...

Are you a "fiduciary"?

Yes

Aliases

Richard Hageman | Rick Hageman

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.

1) AVANTAX PLANNING PARTNERS, INC POSITION: FINANCIAL ADVISOR NATURE: INVESTMENT ADVISORY INVESTMENT RELATED: YES NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 8 START DATE: 04/01/1999 ADDRESS: 3390 ASBURY ROAD, DUBUQUE IA 52002 DESCRIPTION: INVESTMENT ADVISORY SERVICES 2) FIFTY CAL ARMS LLC POSITION: Owner NATURE: guns/accessories sales NOT INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2018 ADDRESS: 3067 Buttercup Rd., Neenah WI 54956, United States DESCRIPTION: I am a gun enthusiast and amateur competitive shooter. I'm interested in extending my hobby by getting a Federal Firearms License (FFL) to facilitate purchase/sales for myself, family and friends. Licensing required me to setup a business entity. This would only be a spare-time, low-volume business for me as I will continue to work full-time in my primary occupation as a financial advisor. All transactions would be in compliance with state and federal laws.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard John Hageman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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: 1999

Experience

Current

April 15, 1999 - Present

AVANTAX PLANNING PARTNERS, INC.

RIA

CRD#: 106237

NEENAH, WI

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

NEENAH, WI

Past

September 30, 2020 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

NEENAH, WI

Past

April 9, 1999 - September 30, 2020

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

NEENAH, WI

Past

November 7, 1997 - April 14, 1999

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

December 15, 1993 - December 21, 1994

CNBS

CRD#: 24153

OVERLAND PARK, KS

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(9/5/2025)

Iowa
(9/5/2025)

Minnesota
(9/5/2025)

Missouri
(9/5/2025)

IAR

Wisconsin
(4/21/2004)

Wisconsin
(9/5/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 11/17/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/28/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/6/1997

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 3

Date: 10/1/1991

National Commodity Futures Examination

SRO Registrations

FINRA

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3390 Asbury Road, Dubuque, IA 52002-2801

Mailing Address

Phone number

(563) 582-2855

Established

Firm type

Fiscal year end

# of Employees

254

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APP ADV PART 2A BROCHURE (10/16/2025)

Regulatory assets under management

Total Number of Accounts	13,679
AUM (Assets Under Management)	$ 6,933,162,284

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
12/16/2022	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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard J. Hageman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard John Hageman's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX INVESTMENT SERVICES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

CNBS

Primary Firm SEC Registration

AVANTAX PLANNING PARTNERS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/17/1997

SIE

Date: 10/1/2018

Series 7

Date: 1/28/1998

Series 6

Date: 11/6/1997

Series 3

Date: 10/1/1991

FINRA

Current Firm

AVANTAX PLANNING PARTNERS, INC.

Contact information

SEC notice filing (51 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

Contact information

Similar Advisors