Retirement Plans - Disclosure Catalog
Retirement Plans
This section contains documents that include a description of the services that Avantax
Investment Services and/or Avantax Advisory Services (Firm) is providing to you with respect to
your retirement plan(s) and the compensation that we receive in connection with these services.
Please Note: Avantax will periodically post any updates to the firm’s 408(b)(2) Disclosure
Documents to this website but will no longer mail notices with these updates to plan sponsors.
As such, you are encouraged to periodically review the website to access the most current
disclosures. In the event you do wish to receive a hard copy form or have any questions on the
content or of which disclosure(s) are applicable to your plan, please contact your Financial
Professional for assistance.
- 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 – RMS
- ERISA 408 (b)(2) Disclosure Document – IMS NON WRAP Programs
- ERISA 408 (b)(2) Disclosure Document – Indirect Compensation Supplemental Disclosure
- Retirement Plan Options – IRA Decision Guide