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 |
|---|---|---|---|---|---|---|---|---|
| Gregg Edward Graening | 2577132 | 1 | 01/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sandeep Varma | 1926613 | 3 | 01/19/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Neal Robinson | 6285461 | 3 | 11/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Pat Mullen | 6394573 | 6 | 10/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jahangir Ali Sultan | 4188015 | 1 | 10/16/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Pat Mullen | 6394573 | 6 | 09/25/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lisa Mischele Guillory | 2119094 | 1 | 03/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tiffany Elaine Franklin | 6644546 | 1 | 03/03/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brad Matthew Allphin | 7284923 | 3 | 02/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Craig Grodsky | 4481027 | 5 | 03/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |