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 Donald Redfern | 6264425 | 7 | 02/20/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Derek Popock | 2411594 | 1 | 01/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brad Matthew Allphin | 7284923 | 3 | 11/19/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Donald Redfern | 6264425 | 7 | 11/14/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Christine Franklin | 6518573 | 4 | 11/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amanda Leisy Porter | 6283281 | 1 | 10/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Pat Mullen | 6394573 | 6 | 07/23/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wesley Shannon Clark | 2360232 | 1 | 05/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Craig Grodsky | 4481027 | 5 | 02/12/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Pat Mullen | 6394573 | 6 | 02/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |