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 |
|---|---|---|---|---|---|---|---|---|
| James Allen Legg | 2698698 | 11 | 04/11/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David W Briley | 4108428 | 1 | 11/29/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Roseann Cretella | 4457517 | 2 | 11/01/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Betsy Ann Abney | 2677004 | 2 | 10/07/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Allen Legg | 2698698 | 11 | 08/24/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Walter Lindberg | 2302803 | 1 | 06/08/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nicholas Agostino | 5166683 | 2 | 10/01/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nicholas Agostino | 5166683 | 2 | 08/01/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Pamela Jean Gilkey Slatten | 5045460 | 2 | 07/08/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Joseph Demarco | 4374829 | 2 | 02/05/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |