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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Raymond Cuddy | 2286154 | 2 | 07/23/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Shane Riley | 2647803 | 1 | 05/30/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Calvin Roseberry | 2965512 | 1 | 07/20/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Veronica Cordova | 3043875 | 2 | 10/15/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John W Brimer | 5552784 | 1 | 02/28/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Angelo Joseph Coppolino | 3003467 | 1 | 05/19/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sandeep Varma | 1926613 | 3 | 03/05/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Robert McConnell | 4043109 | 1 | 06/27/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard A Angott | 2910271 | 1 | 01/26/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Marvin Dowdy | 1275473 | 1 | 09/25/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |