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 |
|---|---|---|---|---|---|---|---|---|
| Scot Patrick Sageser | 2390418 | 1 | 09/23/2002 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Raymond Boyd Wilshire | 2012206 | 1 | 08/20/2002 | Customer Dispute | Settled | $8,800.00 | $0.00 | See FINRA Report |
| Ali Kazemi | 1546765 | 3 | 09/12/2000 | Customer Dispute | Settled | $6,717.00 | $0.00 | See FINRA Report |
| Edward Joseph Ryan | 2270069 | 1 | 03/21/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth Barry Graves | 2361457 | 2 | 06/22/1999 | Customer Dispute | Settled | $55,000.00 | $0.00 | See FINRA Report |
| William Michael Landenberger | 301441 | 1 | 08/20/1997 | Customer Dispute | Settled | $360,000.00 | $0.00 | See FINRA Report |
| Thomas Earl Simms | 1364952 | 3 | 08/21/1995 | Customer Dispute | Settled | $23,000.00 | $0.00 | See FINRA Report |
| Thomas Earl Simms | 1364952 | 3 | 04/25/1995 | Customer Dispute | Settled | $17,922.00 | $0.00 | See FINRA Report |
| Caren Lee Lawson | 1435442 | 1 | 11/03/1994 | Customer Dispute | Settled | $72,000.00 | $0.00 | See FINRA Report |