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 |
|---|---|---|---|---|---|---|---|---|
| Michael Eugene Winemiller | 2738609 | 2 | 08/28/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Randall Kenneth Walker | 1269196 | 1 | 01/01/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott David Shrader | 2782420 | 1 | 04/16/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frederick Paul Cardinale | 2566322 | 1 | 04/08/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alan Ray Jones | 5568078 | 1 | 01/16/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Raymond Cuddy | 2286154 | 2 | 07/23/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Shane Riley | 2647803 | 1 | 05/30/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Calvin Roseberry | 2965512 | 1 | 07/20/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Veronica Cordova | 3043875 | 2 | 10/15/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John W Brimer | 5552784 | 1 | 02/28/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |