Full text of AVANTAX INVESTMENT SERVICES, INC.'s X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition December 31, 2020 (With Report of Independent Registered Public Accounting Film Thereon) {1}------------------------------------------------ | UNITED STATES | |------------------------------------| | SECURITIES AND EXCHANGE COMMISSION | | WASIDNGTON, D.C. 20549 | | | OMB APPROVAL | | |---------------------------|----------------------------|--| | PMB Number: | 3235-0123 | | | !Expires: | October 31 , 2023 | | | !Estimated average burden | | | | | !Hours per response 12.00 | | 8- SEC FILE NUMBER # ANNUAL AUDITED REPORT FORM X-17A-5 PART III FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING | 01/01/2020<br>MM/DDIYY | AND ENDING | 12/31/2020<br>MM/DDIYY | |---------------------------------------------------------------------------|--------------------------------------------------------|------------|------------------------------------------------| | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: Avantax Investment Services, Inc. | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCJPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM J.D. NO. | | 3200 Olympus Blvd., Suite 100 | | | | | Dallas | (No. and Street)<br>Texas | 75019 | | | (City) | | (State) | (Zip Code) | | | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT fN REGARD TO THIS REPORT | | | | | Chris Rod | | | (972) 870-6000<br>(Area Code -- Telephone No.) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | Ernst & Young LLP | | | | | | (Name-- if individual, state last, first, middle name) | | | | 2323 Victory Avenue, Suite 2000 | Dallas | Texas | 75219 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | [K] Certified Public Accountant | | | | | D | | | | | Public Accountant | | | | | D<br>Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | *\*Clnims for exemption from the >'eqnil'emen.t thut th.e nn111wlreport be covered tly the opinion of un independent pnblic ucconn.tu"t mnst be supported by a stutement of facts an.d cil·c•.unstances relied o" as the bltsis for the exemption ..* See *section 240.17a-5(e)(2).* > Potential pel'sons who are to l'espond to the collection of information contained…Read the full text as markdown