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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Francis Serrecchia | 1278517 | 1 | 05/14/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Artiz Demetrius Stroud | 5362366 | 1 | 12/16/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Brian Test | 2341570 | 5 | 10/26/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Donald Redfern | 6264425 | 7 | 10/04/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Brian Test | 2341570 | 5 | 05/08/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Brian Test | 2341570 | 5 | 01/19/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Michael Ditzler | 6086230 | 1 | 04/29/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Naudia Reid | 7053530 | 1 | 12/24/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Glen Thomas Omanson | 5623072 | 1 | 05/20/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Christine Franklin | 6518573 | 4 | 05/13/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |