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 |
|---|---|---|---|---|---|---|---|---|
| Frank H Kelly | 2028226 | 6 | 08/27/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nathan Munro | 5912317 | 2 | 12/16/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Vernon Lee Hargrave | 6163654 | 1 | 12/04/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniyal I Ahmed | 6810774 | 2 | 09/23/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nathan Steven Zielonka | 5261802 | 1 | 01/15/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniyal I Ahmed | 6810774 | 2 | 01/04/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Justin Conrad Scott | 4704918 | 1 | 04/18/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lacey Elizabeth Houck | 6414097 | 1 | 06/06/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ryan Paul Fischer | 6107779 | 2 | 04/30/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bret David Laporte | 4733385 | 1 | 03/16/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |