Full text of AVANTAX INVESTMENT SERVICES, INC.'s X-17A-5 filed 2024-03-28 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition December 31 , 2023 (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: **Nov.** 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER # **ANNUAL REPORTS FORM X-17A-S PART** Ill **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **O 1/01/2023** AND ENDING **12/31/2023** MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: Avantax Investment Services, Inc. TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer □ Security-based swap dealer 0 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 | Dallas | | Texas | | 75019 | | |---------------------------------------------------------------------------|--|------------------------------------------------------------|--------------------------------------------|------------|--| | (City) | | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Chris Rod | | 972-870-6000 | chris.rod@avantax.com | | | | (Name) | | (Area Code -Telephone Number) | (Email Address) | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | B. ACCOUNTANT IDENTIFICATION | | | | | Ernst & Young LLP | | (Name - if individual, state last, first, and middle name) | | | | | 2323 Victory Avenue, Suite 2000 Dallas | | | Texas | 75219 | | | (Address) | | (City) | (State) | (Zip Code) | | | 10/20/2003 | | | 42 | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | 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 contained in this form are not required to respond unless the form** displays a currently valid 0MB control number. {2}------------------------------------------------ ## **OATH OR AFFIRMATION** I, Chris Rod , swear (or affirm) that, to the best of my knowledge and belief, the…Read the full text as markdown