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 |
|---|---|---|---|---|---|---|---|---|
| Laura Christine Franklin | 6518573 | 4 | 02/29/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Artiz Demetrius Stroud | 5362366 | 1 | 12/16/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Michael Ditzler | 6086230 | 1 | 04/29/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Naudia Reid | 7053530 | 1 | 12/24/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Glen Thomas Omanson | 5623072 | 1 | 05/20/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Christine Franklin | 6518573 | 4 | 05/13/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Samuel Werner | 5156926 | 1 | 05/06/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theresa Lynn Badgett | 4311314 | 3 | 05/05/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Christine Franklin | 6518573 | 4 | 02/05/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Humberto Javier Rivas | 3159109 | 1 | 10/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |