As you may be aware, Avantax will transfer its retail brokerage business and advisory business to Cetera Wealth Services LLC. As a result, my broker-dealer affiliation will soon change, and I will become a financial professional with Cetera Wealth Services LLC. In addition, my investment advisor affiliation will change to Cetera Investment Advisers LLC. The anticipated date of this transition is expected to be on or around September 8, 2025, subject to regulatory approval. I fully expect this change to provide me with access to an expanded universe of products and services for your benefit. Cetera is a wealth management hub dedicated to enabling the delivery of unbiased, holistic planning-based financial advice through financial professionals like me. The relationship I have with you, as a client, will not change; I will continue to have the privilege of servicing your accounts and helping you pursue your financial objectives. Much of the “transition” work to move from Avantax to Cetera Wealth Services/Cetera Investment Advisers is being done behind the scenes and there will be minimal impact to you. However, in the next couple of weeks, you will receive a letter(s) in the mail from Avantax regarding the change in broker-dealer/registered investment adviser and your consent to the change. I encourage you to read the materials carefully. If you do not have any objections to moving your account(s) to Cetera Wealth Services and/or moving your advisory relationship to Cetera Investment Advisers, no action will be required on your part. I truly value our relationship and cannot thank you enough for your continued faith in me and my office. I look forward to continuing to serve your investment needs with the products, solutions and tools that will be afforded to me through my new affiliation. Should you have any questions, please don’t hesitate to contact the office. |
Advance Notice of Broker-Dealer Change Notification
