DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

FRANCIS EGAN DARDIS

Advisor at AVANTAX PLANNING PARTNERS, INC.

Asbury, IA | DUBUQUE, IA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9e678a07-29b8-11a5-28dc-ae3f1b4bd8fd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 24, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: AVANTAX PLANNING PARTNERS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 8, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Feb 8, 2002
First registration: Oct 24, 2003
Dual registered: yes, broker-dealer
Other names: EGAN FRANCIS DARDIS
IAPD individual key: 4467202

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
AVANTAX PLANNING PARTNERS, INC.	Bd affiliated wealth	Feb 25, 2013	n/a	yes	DUBUQUE, IA\|Asbury, IA	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Aug 14, 2009	Feb 27, 2013	no	OMAHA, NE	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Aug 14, 2009	Feb 27, 2013	no	Omaha, NE\|OMAHA, NE	Previous registration
GLOBAL PORTFOLIO STRATEGIES, INC.	Former SEC adviser	Oct 23, 2006	Jan 27, 2009	no	DUBUQUE, IA\|HARTFORD, CT	Previous registration
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.	n/a	Oct 24, 2003	Apr 30, 2005	no	DUBUQUE, IA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Feb 27, 2013	Aug 14, 2009	-1,293	Channel change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Feb 27, 2013	Aug 14, 2009	-1,293	Firm change after gap	Other
GLOBAL PORTFOLIO STRATEGIES, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jan 27, 2009	Aug 14, 2009	199	Firm change	Other
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.	GLOBAL PORTFOLIO STRATEGIES, INC.	Apr 30, 2005	Oct 23, 2006	541	Firm change after gap	Other

Relationships

Registered with (5)

→ AVANTAX PLANNING PARTNERS, INC.Registered adviserregistration: current employment
Feb 25, 2013 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 14, 2009 to Feb 27, 2013factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Aug 14, 2009 to Feb 27, 2013factForm ADV
→ GLOBAL PORTFOLIO STRATEGIES, INC.Registered adviserregistration: previous registration
Oct 23, 2006 to Jan 27, 2009factForm ADV
→ PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
Oct 24, 2003 to Apr 30, 2005factForm ADV

Dated events

No dated event names this entity yet.