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 |
|---|---|---|---|---|---|---|---|---|
| Wayne L Anderson | 5576875 | 2 | 09/15/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Charles McClellan | 2145884 | 2 | 07/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wayne L Anderson | 5576875 | 2 | 04/03/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Richard John Ukleja | 1375375 | 1 | 02/13/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Phillip James Strosahl | 3036467 | 1 | 02/12/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Pat Mullen | 6394573 | 6 | 12/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Franklin Richardson | 721293 | 7 | 10/25/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jordan Ross Rudick | 7625295 | 1 | 10/18/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Desiree Christine Ebhert | 6962940 | 1 | 10/16/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Pat Mullen | 6394573 | 6 | 09/10/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |