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 |
|---|---|---|---|---|---|---|---|---|
| Chang-Hwa Grace Chen | 2670708 | 1 | 03/21/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tami Lee | 7065641 | 1 | 09/19/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Dickerson | 7712701 | 1 | 09/14/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Aderon Alan Napier | 4654167 | 2 | 06/29/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Walter Christian Etterlee | 6741012 | 1 | 04/03/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Judith S Wingo | 1766884 | 1 | 07/14/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Francesco Genovese | 3271394 | 1 | 02/24/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shonah Yvette Turner | 4291415 | 3 | 02/02/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| G Steve Costello | 4131068 | 4 | 10/06/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Roy Triplett | 2953823 | 2 | 08/31/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |