Louie Rosalez has been SR. Vice President of Avantax Planning Partners since February 2012, is a control person of the firm and directly owns under 5% of it.
Avantax Planning Partners, Inc. is a Dubuque, IA firm with $7.57B under management, 8,370 clients and 200 advisers across 170 offices, as of its June 2026 filing.
No adviser firm registrations are on Louie Rosalez’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 8 February 1999 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 21 December 1998 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Louie Alan Rosalez
- CRD
- 2953138
- Firm
- Avantax Planning Partners · CRD 106237
- Role
- SR. Vice President
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does Louie Rosalez work?
Louie Rosalez has been SR. Vice President of Avantax Planning Partners, Inc. since February 2012, and is a control person of the firm.
Does Louie Rosalez have a current investment-adviser registration?
Louie Rosalez has no current investment-adviser or broker registration.
What exams has Louie Rosalez passed?
Louie Rosalez has passed 2 licensing exams: the Series 6 and Series 63. The earliest, the Series 6, was passed in December 1998. FINRA credited Louie Rosalez with the SIE, which began in October 2018.
Is Louie Rosalez registered with FINRA?
No. Louie Rosalez has no current broker registration.
How can I verify Louie Rosalez’s record?
Search CRD 2953138 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Louie Rosalez’s full registration record.
- Jason AllenVice President
- Jeffrey BuchheisterVice President
- Serge BudevichVice President & Tax Officer
- Jennifer HanauVice President
- Todd MackayVice President
- Michael MolnarVice President
- Joseph NearyDirector/Vice President
- Andrew WattsPresident
- Matthew BregozzoChief Compliance Officer
- Lisa GokDirector/Secretary
- Thomas GooleyDirector
- Winnie LeeAsst. Secretary
- Allan ShoresTreasurer
- David Van HavermaatAsst. Secretary
- Tamas VaysAsst. Secretary