DR
Douglas W. Rogers
AVANTAX PLANNING PARTNERS
Platteville, WI 53818
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CRD#: 5902819
DR
Professional summary
Douglas Wayne Rogers, who also goes by Doug Rogers, Douglas Rogers, is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Platteville, Wisconsin.
Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Douglas has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Doug Rogers | Douglas Rogers
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.
CPA with Honkamp Krueger and Company; start date: 7/15/1989; CPA and Partner; Office Manager of Platteville, WI location; 1 Insight Drive, P. O. Box 502, Platteville, IA 53818; 200 hrs. per month, 200 hours during trading hrs; duties include: accounting, tax preparation, consulting business for owners and individuals regarding taxes and finance.
Independent contractor with HK Financial Services; Investment related; address: 1 Insight Drive, P. O. Box 502, Platteville, IA 53818; Nature of business: B/D firm;starting date of 8/2016; 12 hrs. per month, 12 hours during trading hrs; Registered rep. Meeting with CPA clients on their retirement and investment needs.
Partners is the following:
Law Building Company, Dubuque, IA, Business Real Estate
Roger, Kern Properties, LLC Business Real Estate, Platteville, WI
Minimum to no hours per year in these businesses.
HONKAMP KRUEGER AND COMPANY
POSITION: CPA NATURE: Accounting Firm INVESTMENT RELATED: No NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 200 START DATE: 07/15/1989
ADDRESS: 3390 Asbury Road, Dubuque IA 52002
DESCRIPTION: Management - client relationships, Tax accounting and consulting.
HKFS
POSITION: IAR / shareholder NATURE: Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 02/20/2016
ADDRESS: 3390 Asbury Road, Dubuque IA 52002, United States
DESCRIPTION: Wealth management
LAW BUILDING COMPANY
POSITION: Shareholder NATURE: Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2016
ADDRESS: 2345 JFK Road, Dubuque IA 52001, United States
DESCRIPTION: Real Estate Rental
HKFS BUILDING CORPORATION
POSITION: Shareholder NATURE: Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2016
ADDRESS: 2345 JFK Road, Dubuque IA 52002, United States
DESCRIPTION: Real Estate Rental
Limited duties
ROGERS AND KERN PROPERTIES , LLC
POSITION: Member NATURE: Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2016
ADDRESS: 275 Flower Court, Platteville WI 53818, United States
DESCRIPTION: Real Estate Rental
Managing Member
SOUTHWEST HEALTH CENTER
POSITION: Chairman of Board NATURE: Hospital INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2017
ADDRESS: 1400 Eastside Road, Platteville WI 53818, United States
DESCRIPTION: Board member and Chairman of Board
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Wayne Rogers'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 11, 2017 - Present
AVANTAX PLANNING PARTNERS, INC.
Office #1: One Insight Drive, Platteville, WI 53818RIA
CRD#: 106237
Platteville, WI
Past
December 23, 2016 - January 27, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
PLATTEVILLE, WI
Past
October 5, 2016 - October 1, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
PLATTEVILLE, WI
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
Wisconsin(1/11/2017)
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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Company Information
AVANTAX PLANNING PARTNERS, INC.
CRD#: 106237Platteville, WI 53818TRUST BUT VERIFY
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