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 |
|---|---|---|---|---|---|---|---|---|
| Jay Lindsay Geaslen | 2124281 | 3 | 09/05/2024 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Richard Salinas | 6041179 | 1 | 03/13/2024 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Mark James Bloom | 6933619 | 2 | 02/16/2024 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Christopher Nelson Kirkland | 5602044 | 5 | 08/31/2023 | Customer Dispute | Settled | $585,000.00 | $0.00 | See FINRA Report |
| Kevin Lawrence Kelly | 2293119 | 7 | 08/31/2023 | Customer Dispute | Settled | $585,000.00 | $0.00 | See FINRA Report |
| Archibald William McMichael | 2997111 | 3 | 06/27/2023 | Customer Dispute | Settled | $105,000.00 | $0.00 | See FINRA Report |
| J. Brian Glaze | 5373140 | 2 | 04/05/2023 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Larry Milton Ware | 3053841 | 3 | 04/05/2023 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Daniel Paul Burkott | 4710068 | 2 | 04/03/2023 | Customer Dispute | Settled | $499,999.00 | $0.00 | See FINRA Report |
| Daniel Paul Burkott | 4710068 | 2 | 04/03/2023 | Customer Dispute | Settled | $489,898.00 | $0.00 | See FINRA Report |