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 |
|---|---|---|---|---|---|---|---|---|
| Clark P Caine | 4091047 | 1 | 02/28/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| April Marie Meyers | 4632369 | 1 | 11/26/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Allen Raymond | 4858093 | 1 | 07/04/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Alexander Gregerson | 2637409 | 1 | 06/27/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jose Luis Rodriguez | 2105127 | 1 | 04/18/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Leslie Charles Smith | 1803943 | 2 | 01/08/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Patrick Edward McGuinnis | 2632827 | 1 | 08/20/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Joseph Demarco | 4374829 | 2 | 05/05/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Janet Lynn Marsey | 1944133 | 2 | 04/28/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Philip Teller | 4711589 | 1 | 04/27/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |