Full text of AVANTAX INVESTMENT SERVICES, INC.'s X-17A-5 filed 2023-02-28 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition December 31 , 2022 (With Report of Independent Registered Public Accounting Firm Thereon) {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-5 PART Ill** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|--------------------------------------------| | AND ENDING 12/31/2022<br>FILING FOR THE PERIOD BEGINNING 01/01/2022 | | | | | | MM/DD/VY | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: Avantax Investment Services, Inc. | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>0 Check here if respondent is also an OTC derivatives dealer | D Security-based swap 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 | | | (r<br>te "' Reg;,t,aUon with PCAOBJ(;f appUo,ble) FOR OFFICUl.l USE ONLY | | | (PCAOB Reg;str,tkm N,mbe,, ;r appUooble) I | \* 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 circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contain…Read the full text as markdown