Full text of AVANTAX INVESTMENT SERVICES, INC.'s X-17A-5 filed 2022-03-01 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition December 31 , 2021 (With Report of Independent Registered Public Accounting Firm Thereon) {1}------------------------------------------------ ### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | | SEC FILE NUMBER | |--|-----------------| **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | | ----------<br>AND ENDING 12/31/2021<br>FILING FOR THE PERIOD BEGINNING 01/01/2021 | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------|-----------------------------------------|----------------------------------------------|--| | MM/DD /Y Y<br>MM/DD/YY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Avantax Investment Services, Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Security-based swap dealer<br>Qt Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | | D Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 3200 Olympus Blvd., Suite 100 | | | | | | | (No. and Street) | | | | | Dallas | TX. | | 75019 | | | (City) | {State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Chris Rod | 972-870-6000 | | christopher.rod@avantax.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Ernst & Young LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 2323 Victory Avenue, Suite 2000 | Dallas | TX | 75219 | | | (Address) | (City) | (State) | (Zip Code) | | | 10/20/2003 | | 42 | | | | rte of<br>Reg;,trat;oa w;th PCAOBl(lf applkable) | | | (PCAOB Reg;st,atloa Nombe,, If applicable) I | | | | FOR OFFICIAL USE ONLY | | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | | | | | accountant must be supported by a statement of facts and c…Read the full text as markdown