KH
Keith J. Habel
AVANTAX PLANNING PARTNERS
Dubuque, IA 52001
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CRD#: 7224709
KH
Professional summary
Keith James Habel is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Dubuque, Iowa.
Keith is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Keith has worked at 1 firm and has passed the Series 65 exam.
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) I am a partner, CPA and equity owner with Honkamp Krueger & Co. P.C., a regional public accounting firm. I am located at 2345 JFK Rd Dubuque, IA 52001. I have been with HK & Co. since 05/2004. I work approximately 160 hours a month. I provide typical services of a public accounting firm including tax preparation, consulting, and bookkeeping to a variety of different clients and businesses. Most of my work is during securities trading hours. My employment is not securities-related or investment-related. (2) I am a Shareholder of HK Financial Services, Inc., a financial services firm. The firm is primarily located at 3390 Asbury Road, Dubuque, IA 52002. It is "investment-related". My start date is 01/2018. I devote 40 hours a month, primarily during securities trading hours. My participation includes attending periodic shareholder meetings. (3) I am a Member-Owner of HKFS Building Co., LLC., a real estate rental entity. My participation is not securities-related or investment-related. The building owned by the entity is located at 3390 Asbury Road, Dubuque, IA 52002. My start date is 01/2018. I devote 1-2 hours a month, primarily during non-securities trading hours. My participation includes attending periodic member meetings. (4) I am a Member-Owner of Law Building, LLC., a real estate rental entity. My participation is not securities-related or investment-related. The building owned by the entity is located at 2345 JFK Road, Dubuque, IA 52002. My start date is 01/2018. I devote 1-2 hours a month, primarily during non-securities trading hours. My participation includes attending periodic member meetings.
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 31, 2020 - Present
AVANTAX PLANNING PARTNERS, INC.
Office #1: 2345 John F Kennedy Rd, Dubuque, IA 52001RIA
CRD#: 106237
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".
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(1/31/2020)
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#: 106237Dubuque, IA 52001TRUST BUT VERIFY
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