MM
Mallory S. Moser
AVANTAX PLANNING PARTNERS
Dallas, TX 75248
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CRD#: 7815435
MM
Professional summary
Mallory Suzanne Moser, who also goes by Mallory S Moser, Mallory Moser, is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Dallas, Texas.
Mallory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Mallory has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mallory S Moser | Mallory Moser
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. AVANTAX PLANNING PARTNERS INC. POSITION: Investment Advisor Representative NATURE: IAR to numerous investment clients and provide financial planning to clients INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 09/29/2023 ADDRESS: 15150 Preston Rd, Suite 210, Dallas TX 75248, United States DESCRIPTION: Primary communication with financial planning, assist clients with investment choices, and review investment performance with clients 2. ICAN, INC. POSITION: Associate NATURE: ICAN designs and implements sophisticated navigation and communications software including Electronic Chart Systems (ECS) designed on the IMO specification for ECDIS. The company also provides AIS and VDES Infrastructure, consulting services, system design, and project management. ICAN has a US based office in Dallas, Texas. The US office provides sales, technical support and administration for US customers of ICAN Systems and related hardware. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 03/01/2023 ADDRESS: 15150 Preston Road, Ste 210, Ste 210, Dallas TX 75248, United States DESCRIPTION: Assists the organization with building long-term relationships with key clients. Works with senior executives, sales managers, technical managers, finance directors, and others who make or influence sales decisions. Work directly with clients to address problems or overcome other obstacles.Other duties as assigned.?? 3. STEVEN E. MILLER, CPA P.C. POSITION: Office Manager NATURE: Offers a broad range of services for business owners, executives and independent professionals. This includes tax preparation services, advisory and tax planning services, and bookkeeping & payroll services. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 07/01/2012 ADDRESS: 15150 Preston Rd, Suite 210, Dallas TX 75248, United States DESCRIPTION: In charge of project management ensuring all client projects are assigned and completed timely. Manages calendar/scheduling for staff. Runs payroll and approves time off requests. In charge of billing and firm accounts payable/receivables. Oversees office administration and productivity. Firm liaison interacting with clients and office team members. Point of contact for potential clients and onboarding of new clients. Once licensed, I will also be marketing Avantax business through this entity. 4) M2 FINANCIAL STRATEGIES LLC POSITION: Owner NATURE: This is a new entity created so that when I eventually start earning money from Avantax, I can use the LLC to pay my business expenses. INVESTMENT RELATED: No NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 09/13/2024 ADDRESS: 15150 Preston Rd, Suite 210, Dallas TX 75248, United States DESCRIPTION: Financial services entity through which Avantax services are offered.
CRS (Client Relationship Summary) - RIA
Click below to view Mallory Suzanne Moser'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 26, 2024 - Present
AVANTAX PLANNING PARTNERS, INC.
Office #1: 15150 Preston Road Suite 300, Dallas, TX 75248RIA
CRD#: 106237
Dallas, TX
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
Texas(1/26/2024)
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#: 106237Dallas, TX 75248TRUST BUT VERIFY
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