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 |
|---|---|---|---|---|---|---|---|---|
| David Brian Test | 2341570 | 3 | 01/19/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Javier Francisco Suarez | 4764249 | 1 | 04/28/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Carol Emily Dixon | 2187254 | 4 | 10/19/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Edward Tatum | 5449421 | 1 | 05/30/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank H Kelly | 2028226 | 6 | 05/30/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Donald Redfern | 6264425 | 6 | 02/20/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Donald Redfern | 6264425 | 6 | 11/14/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Alan Shepherd | 7196779 | 1 | 10/08/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Le Roy Renner | 3002226 | 1 | 04/18/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sandeep Varma | 1926613 | 2 | 01/19/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |