WS
Wendy L. Sims
AVANTAX PLANNING PARTNERS
PELLA, IA 50219
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CRD#: 4579589
WS
Professional summary
Wendy Lynn Sims, who also goes by Wendy L. Sims, Wendy Lynn Van Roekel, is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Pella, Iowa.
Wendy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Wendy has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Wendy L. Sims | Wendy Lynn Van Roekel
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) I am a Shareholder and Accountant with Schuring Uitermarkt Sims McCleish Ver Meer, PC, a regional CPA firm. I am located at 916 W 16th Street, Pella, IA 50219. I have been with the CPA firm since 1982. I work approximately 160 hours a month. I provide services that are typical of public accounting, including tax services, consulting, and account services to a variety of different clients and client types. Most of my work is during securities trading hours. My employment is not securities-related or investment-related.(2) I am a Shareholder and Advisor with Schuring & Uitermarkt Financial Services, a financial services firm located at 916 W 16th Street, Pella, IA 50219. I have been with the firm since 1999. I work approximately 160 hours a month. I provide wealth management services to a variety of different clients and client types based on their individual financial needs and risk tolerances. Most of my work is during securities trading hours. My employment is investment-related. (3) I am on the board of directors for and a shareholder of Leighton Investment Company, a bank holding company located at 900 Washington Street, Pella, IA 50219. I devote approximately 5-10 hours a month to this activity, primarily during securities trading hours. I attend quarterly board meetings and provide input to management. My participation is not securities-related or investment-related. (4) I am on the board of directors for Pella Regional Health Center Foundation, a 501(c)(3) that supports activities of the health center. I devote no more than 5-10 hours a month to this activity, primarily during non-securities trading hours. I attend quarterly board meetings. My participation is not securities-related or investment-related. (5) I am a member/owner of S & U Real Estate, a real estate rental company located at 916 W 16th Street, Pella, IA 50219. I devote approximately 5-10 hours a month to this activity, primarily during securities trading hours. I attend quarterly board meetings. My participation is not securities-related or investment-related. (6) I am a member/owner of Biotech Management, LLC., an Idol biodiesel plant. The company is located at 916 W 16th Street, Pella, IA 50219. I devote no more than 5-10 hours a month to this activity, primarily during securities trading hours. I am the bookkeeper and attend member meetings. My participation is not securities-related or investment-related. (7) I am a member/owner of Grootveld Family Farm, LLC., a farm land rental entity. The entity is located at 384 223rd Place, Pella, IA 50219. I devote approximately 5-10 hours a month to this activity, primarily during securities trading hours. I am the bookkeeper. My participation is not securities-related or investment-related.
CRS (Client Relationship Summary) - RIA
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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 1, 1999 - Present
AVANTAX PLANNING PARTNERS, INC.
Office #1: 916 W 16th St, Pella, IA 50219RIA
CRD#: 106237
PELLA, IA
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
Iowa(1/1/1999)
Exams
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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Company Information
AVANTAX PLANNING PARTNERS, INC.
CRD#: 106237Pella, IA 50219TRUST BUT VERIFY
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