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 |
|---|---|---|---|---|---|---|---|---|
| Janice B Graham | 2039382 | 1 | 05/14/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Ramos | 6651717 | 1 | 03/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Arron Isaac Brisard | 3199772 | 1 | 03/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Moore Huggett | 5962683 | 1 | 02/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Betsy Ann Abney | 2677004 | 2 | 12/31/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Salvatore Di Fazio | 4608571 | 1 | 11/28/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carmen J Memoli | 3053629 | 1 | 10/29/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Charles Thomas | 1455306 | 2 | 02/03/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Barnes | 5258175 | 1 | 12/23/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Edward Carollo | 4015980 | 2 | 06/25/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |