Steven D. Broihahn

AVANTAX PLANNING PARTNERS

Madison, WI

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CRD#: 6474628

Professional summary

Steven David Broihahn, CFP® is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Madison, Wisconsin and CETERA WEALTH SERVICES, LLC located in Madison, Wisconsin.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Steven has worked at 6 firms and has passed the Series 63, Series 7TO, SIE and Series 6 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.

1) HK FINANCIAL SERVICES POSITION: Financial Planning Consultant NATURE: Investments and planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 04/01/2018 ADDRESS: 251 Progress Way, Suite 200, Waunakee WI 53597, United States DESCRIPTION: Support CPA firms and their clients with financial planning

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven David Broihahn'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®

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Current

April 13, 2018 - Present

AVANTAX PLANNING PARTNERS, INC.

Office #2: 2310 Crossroads Drive #2200, Madison, WI 53718

RIA

CRD#: 106237

Madison, WI

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2310 Crossroads Drive #2200, Madison, WI 53718

CRD#: 13572

Madison, WI

Past

September 30, 2020 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Madison, WI

Past

February 19, 2019 - September 30, 2020

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

WAUNAKEE, WI

Past

February 7, 2018 - March 21, 2018

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Madison, WI

Past

May 14, 2015 - February 7, 2018

VALMARK SECURITIES, INC.

CRD#: 31243

MADISON, 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".

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)

Illinois
(9/5/2025)

Iowa
(9/5/2025)

Kentucky
(9/5/2025)

New Mexico
(9/5/2025)

North Carolina
(9/5/2025)

South Carolina
(9/5/2025)

Virginia
(9/5/2025)

IAR

Wisconsin
(4/13/2018)

Wisconsin
(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

Series 63

Date: 6/22/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/19/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/21/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/14/2015

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

Steven D. Broihahn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven David Broihahn's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX INVESTMENT SERVICES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

KESTRA INVESTMENT SERVICES, LLC

VALMARK SECURITIES, INC.

Primary Firm SEC Registration

AVANTAX PLANNING PARTNERS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/22/2015

Series 7TO

Date: 10/19/2022

SIE

Date: 3/21/2018

Series 6

Date: 5/14/2015

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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