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 |
|---|---|---|---|---|---|---|---|---|
| Christopher L Sassone | 4386593 | 1 | 10/02/2018 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Frank H Kelly | 2028226 | 6 | 10/10/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kathleen Carmen Kovar | 4666755 | 1 | 08/07/2017 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Michael Allen Toy | 4013098 | 2 | 01/11/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Jerome Johnson | 2879962 | 1 | 09/23/2016 | Customer Dispute | Settled | $7,460.00 | $0.00 | See FINRA Report |
| Kevin James Larson | 3067781 | 2 | 05/16/2016 | Customer Dispute | Settled | $315,000.00 | $0.00 | See FINRA Report |
| Dylan Gregory Levey | 4297808 | 2 | 01/21/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Gregory Powell | 1217415 | 1 | 11/16/2015 | Customer Dispute | Settled | $2,015,000.00 | $0.00 | See FINRA Report |
| Vlastimir Zivkov | 4455346 | 1 | 09/21/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth Allan Ulrich | 1017571 | 3 | 11/17/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |