Shawn P. Berthelot

AVANTAX PLANNING PARTNERS

Macedonia, OH

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CRD#: 4577477

Professional summary

Shawn Philip Berthelot is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Macedonia, Ohio and CETERA WEALTH SERVICES, LLC located in Kingwood, Texas.

Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Shawn has worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Philip Berthelot'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

May 24, 2024 - Present

AVANTAX PLANNING PARTNERS, INC.

Office #2: 1384 Stonehollw Dr Suite 1, Kingwood, TX 77339

RIA

CRD#: 106237

Macedonia, OH

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1384 Stonehollow Dr. Suite 1, Kingwood, TX 77339

CRD#: 13572

KINGWOOD, TX

Past

May 23, 2024 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

KINGWOOD, TX

Past

April 19, 2021 - May 14, 2024

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

FAIRLAWN, OH

Past

April 19, 2021 - May 14, 2024

CITIZENS SECURITIES, INC.

CRD#: 39550

FAIRLAWN, OH

Past

December 15, 2008 - December 31, 2020

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Orange Village, OH

Past

December 15, 2008 - January 11, 2021

TD AMERITRADE, INC.

RIA

CRD#: 7870

Orange Village, OH

Past

December 15, 2008 - January 11, 2021

TD AMERITRADE, INC.

CRD#: 7870

Orange Village, OH

Past

September 15, 2008 - September 23, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

CHARLOTTE, NC

Past

September 15, 2008 - September 23, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

CHARLOTTE, NC

Past

December 13, 2004 - August 20, 2008

NATCITY INVESTMENTS, INC.

RIA

CRD#: 17490

MAYFIELD HEIGHTS, OH

Past

December 13, 2004 - August 20, 2008

NATCITY INVESTMENTS, INC.

CRD#: 17490

MAYFIELD HEIGHTS, OH

Past

November 12, 2002 - September 8, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

WOODMERE, OH

Past

November 1, 2002 - September 8, 2003

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 1, 2002 - September 8, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

IAR

Ohio
(5/25/2024)

Ohio
(9/5/2025)

IAR

Texas
(5/24/2024)

Texas
(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: 4/22/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/31/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/26/2013

General Securities Principal 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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Shawn P. Berthelot

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Philip Berthelot's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX INVESTMENT SERVICES, INC.

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

NATCITY INVESTMENTS, INC.

NATCITY INVESTMENTS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

AVANTAX PLANNING PARTNERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/22/2003

SIE

Date: 10/1/2018

Series 7

Date: 10/31/2002

Series 24

Date: 3/26/2013

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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