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 |
|---|---|---|---|---|---|---|---|---|
| Walter Thomas Samuelson | 1423068 | 3 | 01/14/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Mark Weinstein | 2096987 | 1 | 06/28/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kathleen E Small | 4866484 | 1 | 02/02/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Colin Robert Leisy | 1270224 | 2 | 11/01/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald Steven Reale | 2305671 | 1 | 01/21/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Joseph Matkovic | 2297505 | 1 | 05/08/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Grover Edward Stults | 2650732 | 1 | 05/10/1973 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alfonso Levertis Johnson | 4349148 | 1 | 12/04/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Russell S Danna | 2934949 | 1 | 06/11/1970 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |