Avantax®

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Avantax Disclosure Catalog (ADC)

All Disclosures

This section provides a list of all Avantax disclosures in alphabetical order that have been included throughout these categories.

529 College Savings Plan Disclosure Form
Annuity Buyer’s Guide 
Avantax Privacy Policy 
Avantax Client Relationship Summary (Form CRS)
Bank Deposit Sweep Program 
Brokerage Account Agreement 
Brokerage Account – Options Account Request 
Brokerage Account – Margin Supplemental Application
Brokerage Account – Penny Stock Agreement
Brokerage REIT Disclosure 
Business Continuity Disclosure Statement
Direct Mutual Fund Account Agreement
Energy General / Limited Partnership Disclosure 
ERISA 408 (b)(2) Disclosure Document – Brokerage Non Managed Account Disclosure 
ERISA 408 (b)(2) Disclosure Document – Group Annuity Account Disclosure 
ERISA 408 (b)(2) Disclosure Document – Retail Direct & Third Party Recordkeeper Disclosure 
ERISA 408 (b)(2) Disclosure Document – IMS Wrap Programs 
ERISA 408 (b)(2) Disclosure Document – IMS NON WRAP Programs

ERISA 408 (b)(2) Disclosure Document – RMS
Exchange Fund Client Disclosure 

Form ADV 2A – Disclosure Brochure
Form ADV 2A – Appendix 1 IMS Access Wrap Program Brochure
Form ADV 2A – Appendix 1 IMS Flex Choice Wrap Program Brochure  

Form ADV 2A – Appendix 1 IMS Gateway Wrap Program Brochure 

Form ADV 2A – Appendix 1 IMS Portfolio Choice Wrap Program Brochure
Form ADV 2A – Appendix 1 IMS Prime Wrap Program Brochure  
Form ADV 2A – Appendix 1 IMS Select Portfolios Wrap Program Brochure  
Form ADV 2A – Appendix 1 IMS Unified Choice Wrap Program Brochure  

Fee Only Variable Annuity Disclosure Form
Fee Only Indexed Annuity Disclosure Form

Avantax Planning Partners Client Relationship Summary (Form CRS)
Indexed Annuity Disclosure
Insurance Purchasing / Exchange Disclosure – Variable Annuities IPED
Insurance Purchasing / Exchange Disclosure – Qualified Retirement Plans
Letter of Acknowledgement Regarding Change in Investment Portfolio
Variable Universal Life (VUL) Form 
Limited Liability Co / Limited Partnership (LLC/LP) Disclosure 
Mutual Fund Buyer’s Guide
Mutual Fund Disclosure
NFS LLC: A Guide to Your Brokerage Account
Order Execution & Routing Practices 
Regulation Best Interest (Reg BI) Disclosure document
Structured Products Guide
Schedule of Fees