Francis E. Dardis

AVANTAX PLANNING PARTNERS

DUBUQUE, IA 52002

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CRD#: 4467202

Professional summary

Francis Egan Dardis, who also goes by Egan Francis Dardis, is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Dubuque, Iowa and CETERA WEALTH SERVICES, LLC located in Dubuque, Iowa.

Francis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Francis has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Egan Francis Dardis

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) HONKAMP KRUEGER FINANCIAL SERVICES POSITION: SENIOR FINANCIAL ADVISOR NATURE: FINANCIAL PLANNING/WEALTH MANAGEMENT INVESTMENT RELATED: YES NUMBER OF HOURS: 160 INVESTMENT RELATED HOURS: 160 START DATE: 02/11/2013 ADDRESS: 3390 ASBURY ROAD, DUBUQUE IA 52002 DESCRIPTION: FINANCIAL PLANNING/WEALTH MANAGEMENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francis Egan Dardis'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®

None

Experience

Current

February 25, 2013 - Present

AVANTAX PLANNING PARTNERS, INC.

Office #1: 3390 Asbury Rd, Dubuque, IA 52002

RIA

CRD#: 106237

DUBUQUE, IA

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 3390 Asbury Road, Dubuque, IA 52002

CRD#: 13572

DUBUQUE, IA

Past

September 30, 2020 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DUBUQUE, IA

Past

April 10, 2013 - September 30, 2020

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

DUBUQUE, IA

Past

August 14, 2009 - February 27, 2013

TD AMERITRADE, INC.

RIA

CRD#: 7870

OMAHA, NE

Past

August 14, 2009 - February 27, 2013

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

OMAHA, NE

Past

August 7, 2009 - February 27, 2013

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

October 23, 2006 - January 27, 2009

GLOBAL PORTFOLIO STRATEGIES, INC.

RIA

CRD#: 105812

DUBUQUE, IA

Past

April 30, 2005 - January 27, 2009

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

DUBUQUE, IA

Past

October 24, 2003 - April 30, 2005

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

RIA

CRD#: 40596

DUBUQUE, IA

Past

January 7, 2002 - April 30, 2005

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

CRD#: 40596

HARTFORD, CT

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

Arizona
(9/5/2025)

Colorado
(9/5/2025)

Florida
(9/5/2025)

Illinois
(9/5/2025)

IAR

Iowa
(2/25/2013)

Iowa
(9/5/2025)

Kansas
(9/5/2025)

Massachusetts
(9/5/2025)

Michigan
(9/5/2025)

New Jersey
(9/5/2025)

North Carolina
(9/5/2025)

Wisconsin
(9/5/2025)

Wyoming
(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

IAR

Series 66

Date: 10/23/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/8/2002

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: 6/19/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/4/2002

Investment Company Products/Variable Contracts Representative 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)

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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

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.

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Firm Stability Insights

Francis E. Dardis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francis Egan Dardis's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX INVESTMENT SERVICES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

GLOBAL PORTFOLIO STRATEGIES, INC.

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

AVANTAX PLANNING PARTNERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/23/2003

Series 63

Date: 2/8/2002

SIE

Date: 10/1/2018

Series 7

Date: 6/19/2003

Series 6

Date: 1/4/2002

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

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