SP
Susan M. Penno
AVANTAX PLANNING PARTNERS
Oak Brook, IL 60523
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CRD#: 7787585
SP
Professional summary
Susan Marie Penno, who also goes by Susan Marie Ungstad, Susan Ungstad, is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Oak Brook, Illinois.
Susan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Susan has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Susan Marie Ungstad | Susan Ungstad
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.THE COLIN M UNGSTAD REVOCABLE TRUST DATED OCTOBER 11, 2005 POSITION: Successor Trustee NATURE: I am listed as a successor trustee on my husband's trust should he pre-decease me. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/11/2005 ADDRESS: 1524 Hadley Dr, Batavia IL 60510, United States DESCRIPTION: Should my husband pre-decease me, I will be the successor trustee for his trust and I will then hold, administer, dispose of all accepted trust property for the benefit of the beneficiaries, in accordance with the terms of the trust. 2.AVANTAX PLANNING PARTNERS POSITION: Independent Advisor Rep NATURE: Tax-Focused Investment StrategiesRetirement Planning and Withdrawal StrategiesFamily Risk ManagementBusiness PlanningLegacy Planning INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 08/25/2023 ADDRESS: 2107 Swift Drive, Suite 210, Oak Brook IL 60523, United States DESCRIPTION: Tax planningRetirement planning and withdrawal strategiesBusiness planningLegacy PlanningCash flow management 3. NAME OF OTHER BUSINESS: SASSETTI LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX & ACCOUNTING; START DATE: 1/2008; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: PROVIDE TAX COMPLIANCE AND PLANNING SERVICES; 4. NAME OF OTHER BUSINESS: SASSETTI BENEFITS ; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE SERVICES; START DATE: 07/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0.5; APX NUMBER OF HOURS DURING TRADING HOURS: 0.5; BRIEF DESCRIPTION OF DUTIES: SELL GROUP BENEFITS TO CLIENTS OF SASSETTI LLC;
CRS (Client Relationship Summary) - RIA
Click below to view Susan Marie Penno'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
August 4, 2023 - Present
AVANTAX PLANNING PARTNERS, INC.
Office #1: 2107 Swift Drive Suite 210, Oak Brook, IL 60523RIA
CRD#: 106237
Oak Brook, IL
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
Illinois(8/4/2023)
Exams
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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