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 |
|---|---|---|---|---|---|---|---|---|
| Tracy Stclair Overstreet | 2301321 | 1 | 05/25/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jonathan William Bowers | 5360096 | 1 | 04/14/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shonah Yvette Turner | 4291415 | 3 | 04/01/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| G Steve Costello | 4131068 | 4 | 11/16/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Eugene Winemiller | 2738609 | 2 | 10/15/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Emmet Gilcrest | 2056866 | 2 | 01/28/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Aderon Alan Napier | 4654167 | 2 | 11/18/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Adrian Trent Podsednik | 4606988 | 2 | 10/16/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alfred Ponder | 2315144 | 2 | 09/20/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cari Valita Barnes | 5928889 | 2 | 08/29/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |