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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Samuel Werner | 5156926 | 1 | 05/06/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theresa Lynn Badgett | 4311314 | 3 | 05/05/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Christine Franklin | 6518573 | 4 | 02/05/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Humberto Javier Rivas | 3159109 | 1 | 10/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Charles McClellan | 2145884 | 2 | 07/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard John Ukleja | 1375375 | 1 | 02/13/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Phillip James Strosahl | 3036467 | 1 | 02/12/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Pat Mullen | 6394573 | 6 | 12/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd Otto Green | 2708678 | 1 | 11/07/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Franklin Richardson | 721293 | 7 | 10/25/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |