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 |
|---|---|---|---|---|---|---|---|---|
| Caren Lee Lawson | 1435442 | 1 | 11/03/1994 | Customer Dispute | Settled | $72,000.00 | $0.00 | See FINRA Report |
| Leslie Charles Smith | 1803943 | 2 | 01/14/1994 | Customer Dispute | Award / Judgment | $417.50 | $417.50 | See FINRA Report |