JS
James H. Spiegelberg
AVANTAX PLANNING PARTNERS
WAUWATOSA, WI 53222
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CRD#: 3161269
JS
Professional summary
James Henry Spiegelberg, who also goes by Jim Spiegelberg, is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Wauwatosa, Wisconsin and CETERA WEALTH SERVICES, LLC located in Wauwatosa, Wisconsin.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. James has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 22, Series 62 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Spiegelberg
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) 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.
CRS (Client Relationship Summary) - RIA
Click below to view James Henry Spiegelberg's 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®
NoneExperience
Current
October 22, 2001 - Present
AVANTAX PLANNING PARTNERS, INC.
Office #1: 11933 W. Burleigh Street, Wauwatosa, WI 53222RIA
CRD#: 106237
WAUWATOSA, WI
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 11933 West Burleigh Street, Wauwatosa, WI 53222BD
CRD#: 13572
WAUWATOSA, WI
Past
September 30, 2020 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
WAUWATOSA, WI
Past
September 21, 2001 - September 30, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
WAUWATOSA, WI
Past
January 28, 1999 - September 21, 2001
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
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".
AP
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.RR
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
IAR
Wisconsin(10/22/2001)
RR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 8/6/2001
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AP
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
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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
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 | ||
| 12/20/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
AVANTAX PLANNING PARTNERS, INC.
CRD#: 106237Wauwatosa, WI 53222TRUST BUT VERIFY
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