JP
John J. Pembroke
AVANTAX PLANNING PARTNERS
PARK RIDGE, IL 60068
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CRD#: 3204355
JP
Professional summary
John Joseph Pembroke, who also goes by John Pembroke, is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Park Ridge, Illinois.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. John has worked at 3 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Pembroke
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.
I am sole owner of John J. Pembroke & Associates, LLC, a law firm employing one other lawyer, 2 full-time and 3 part-time staff. I have owned this law practice since 01/01/1992, located since 03/01/1993 at 422 N. Northwest Hwy, Park Ridge, IL 60068. This activity is not investment related. I work over 160 hours per month rendering legal services to clients, including preparation of wills and trusts, federal and state income, estate and gift tax returns, corporate formation & other transactions and some litigation. Plus I administer the firm part of my services, including financial planning, fee only, for clients, but does not include any investment related activities.
CRS (Client Relationship Summary) - RIA
Click below to view John Joseph Pembroke'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
January 26, 2004 - Present
AVANTAX PLANNING PARTNERS, INC.
Office #1: 422 N. Northwest Highway, Suite 150, Park Ridge, IL 60068RIA
CRD#: 106237
PARK RIDGE, IL
Past
May 19, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
May 19, 1999 - January 2, 2001
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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.Highlighted states indicate IAR registrations
IAR
Illinois(1/26/2004)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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.
