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 |
|---|---|---|---|---|---|---|---|---|
| Saul Isaac Rothberger | 2914820 | 1 | 11/30/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Paul Freeman | 4585007 | 1 | 10/31/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Cedric von Alexander | 1172994 | 1 | 06/07/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Virgil Arthur Biggs | 1755904 | 2 | 12/06/2021 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Wayne L Anderson | 5576875 | 2 | 09/15/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Wayne L Anderson | 5576875 | 2 | 04/03/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Charles McClellan | 2145884 | 2 | 01/02/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert Brian Lowney | 2008992 | 1 | 06/03/2002 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |