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 |
|---|---|---|---|---|---|---|---|---|
| Carolyn Ann Philpot | 1984443 | 3 | 07/10/2008 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Joseph Edward Carollo | 4015980 | 2 | 07/08/2008 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| Michael Alan Strojny | 1890091 | 2 | 12/22/2006 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Hubert Walter Dumas | 2086893 | 1 | 10/18/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Michael Bruno | 1531618 | 3 | 07/06/2006 | Customer Dispute | Closed-No Action | $65,000.00 | $0.00 | See FINRA Report |
| James Michael Bruno | 1531618 | 3 | 07/06/2006 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Larry David Farish | 2097275 | 3 | 08/24/2004 | Customer Dispute | Closed-No Action | $45,000.00 | $0.00 | See FINRA Report |
| Joseph Krupka | 1606993 | 1 | 11/26/2001 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Carolyn Ann Philpot | 1984443 | 3 | 12/05/2000 | Customer Dispute | Closed-No Action | $72,268.00 | $0.00 | See FINRA Report |
| Mark Graham Lybbert | 2298825 | 3 | 09/04/1998 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |