Christopher M. Allan

AVANTAX PLANNING PARTNERS

DYERSVILLE, IA

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CRD#: 5646543

Professional summary

Christopher Matthew Allan, who also goes by Chris M Allan, Chris Allan, is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Dyersville, Iowa and CETERA INVESTMENT SERVICES LLC located in Dallas, Texas.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Christopher has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris M Allan | Chris Allan

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.

BECKMAN MUSIC DEPARTMENT PARENTS ASSOCIATION POSITION: Treasurer NATURE: Volunteer position for an organization at my children's school. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2025 ADDRESS: Beckman Catholic Jr Sr High School, 1325 9th St SE, Dyersville IA 52040, United States DESCRIPTION: Attend monthly meetings. Responsible for getting concession stands ready before events. Working at the concession stand during events. Depositing cash. Writing checks.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Matthew Allan'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

September 10, 2021 - Present

AVANTAX PLANNING PARTNERS, INC.

Office #2: 3390 Asbury Road, Dubuque, IA 52002-2801

RIA

CRD#: 106237

DYERSVILLE, IA

Current

August 23, 2024 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019

CRD#: 15340

DALLAS, TX

Current

August 23, 2024 - Present

CETERA WEALTH SERVICES, LLC

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

CRD#: 13572

DUBUQUE, IA

Current

August 23, 2024 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019

CRD#: 10358

DALLAS, TX

Current

August 23, 2024 - Present

CETERA ADVISORS LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019

CRD#: 10299

DALLAS, TX

Past

January 20, 2021 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DUBUQUE, IA

Past

March 30, 2009 - August 7, 2020

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

DUBUQUE, 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".

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

Iowa
(9/10/2021)

Iowa
(9/5/2025)

IAR

Texas
(8/9/2025)

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 65

Date: 9/10/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/17/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/28/2009

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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Christopher M. Allan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Matthew Allan's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

AVANTAX INVESTMENT SERVICES, INC.

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

Primary Firm SEC Registration

AVANTAX PLANNING PARTNERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/10/2021

Series 63

Date: 4/17/2009

SIE

Date: 10/1/2018

Series 6

Date: 3/28/2009

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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