LG
Laura M. Gillen
AVANTAX PLANNING PARTNERS
RAPID CITY, SD 57701
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CRD#: 6475684
LG
Professional summary
Laura Marie Gillen, who also goes by Laura Gillen, is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Rapid City, South Dakota and CETERA WEALTH SERVICES, LLC located in Rapid City, South Dakota.
Laura is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Laura has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Laura Gillen
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) MOUNTAIN COUNSELING, LLC POSITION: Owner/Counselor NATURE: I am a qualified, Licensed Professional Counselor (LPC) for mental health. I opened an LLC in 2018 to have a small private practice. I spend between 0-5hours per week seeing clients and doing administrative paperwork. I am the sole member of the LLC. I see clients either via video or in person outside of normal business hours. I changed the LLC from Laura Gillen Counseling LLC to Mountain Counseling LLC in Jan. 2022 because I moved form CO to SD. All activities are the same as my CO LLC. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 10/30/2018 ADDRESS: 1012 Mount Rushmore Road, Rapid City SD 57701, United States DESCRIPTION: Mental health counseling for individual adults, Administrative record-keeping, Billing. This is a small private practice where I see just a few clients per week (between 0-5clients typically per week). 2) FADE WEST, LLC POSITION: Co-Owner NATURE: Taphouse which would be co-owned by my husband, brother in law and me. I will not be an employee. INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2024 ADDRESS: 1012 Mount Rushmore Road, Rapid City SC 57701, United States DESCRIPTION: I will be co-owner, my husband and I will be investing our personal funds as a down-payment and the company will borrow the rest of the initial financing (so I will be co-borrower). I would be involved in overseeing books and records. We have established the LLC name but have not acquired financing. Construction of the building hasn't started yet . 3) NAME OF OTHER BUSINESS: FOUR TRACKS, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: HOSPITALITY; START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OVERSEEING BOOKS AND RECORDS, WORKING WITH OUR CPA, BANK LENDER, AND PLANNING AND MANAGING EVENTS ONSITE;
CRS (Client Relationship Summary) - RIA
Click below to view Laura Marie Gillen'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
June 15, 2021 - Present
AVANTAX PLANNING PARTNERS, INC.
Office #1: 909 St. Joseph Street Suite 101, Rapid City, SD 57701Office #2: 3390 Asbury Road, Dubuque, IA 52002-2801RIA
CRD#: 106237
RAPID CITY, SD
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 909 St. Joseph Street Suite 101, Rapid City, SD 57701BD
CRD#: 13572
RAPID CITY, SD
Past
June 14, 2021 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
RAPID CITY, SD
Past
May 7, 2020 - June 11, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
RAPID CITY, SD
Past
May 7, 2020 - June 11, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
RAPID CITY, SD
Past
August 14, 2015 - May 9, 2018
EDWARD JONES
RIA
CRD#: 250
Westminster, CO
Past
June 1, 2015 - May 9, 2018
EDWARD JONES
BD
CRD#: 250
Westminster, CO
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.RR
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
RR
Arizona(9/5/2025)
RR
California(9/5/2025)
IAR
Colorado(5/8/2024)
RR
Colorado(9/5/2025)
RR
Illinois(9/5/2025)
IAR
Iowa(6/15/2021)
RR
Iowa(9/5/2025)
RR
Kentucky(9/5/2025)
RR
Minnesota(9/5/2025)
RR
Nebraska(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
RR
North Dakota(9/5/2025)
IAR
South Dakota(6/22/2021)
RR
South Dakota(9/5/2025)
RR
Wyoming(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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
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.
Company Information
AVANTAX PLANNING PARTNERS, INC.
CRD#: 106237Rapid City, SD 57701TRUST BUT VERIFY
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