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 |
|---|---|---|---|---|---|---|---|---|
| David Brian Test | 2341570 | 5 | 07/27/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Neal Robinson | 6285461 | 3 | 09/11/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Neal Robinson | 6285461 | 3 | 09/11/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Parker Lenamon | 6822384 | 1 | 02/05/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Todd David Oberle | 2771323 | 1 | 01/16/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Craig Richard Berry | 2408368 | 2 | 02/23/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Edward Leger | 1711231 | 1 | 08/04/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Lee Escobar | 5743023 | 2 | 07/29/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Thomas Schmidt | 3014443 | 2 | 06/10/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Thomas Schmidt | 3014443 | 2 | 06/10/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |