Our Staff has compiled our research into a database of FINRA Broker Disclosures for Avantax Investment Services, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Patrick Francis Cusick | 5312345 | 3 | 12/06/2017 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Robert Lloyd Arnold | 1240901 | 1 | 04/19/2017 | Customer Dispute | Closed-No Action | $20,359.50 | $0.00 | See FINRA Report |
| Sandy Magid | 3138610 | 1 | 03/19/2017 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Grace Chong Kim | 4206921 | 1 | 05/16/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Lee Escobar | 5743023 | 3 | 07/24/2014 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Tonya Gay Fulcher | 2356493 | 1 | 04/18/2014 | Customer Dispute | Closed-No Action | $76,205.90 | $0.00 | See FINRA Report |
| Larry David Farish | 2097275 | 3 | 02/21/2011 | Customer Dispute | Closed-No Action | $60,000.00 | $0.00 | See FINRA Report |
| William Franklin Richardson | 721293 | 7 | 07/29/2009 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| C Gerard van Duinen | 2955290 | 1 | 04/14/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert B Charlton | 4410333 | 2 | 12/23/2008 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |