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 |
|---|---|---|---|---|---|---|---|---|
| Frank H Kelly | 2028226 | 6 | 08/27/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lisa Sue Jackson | 4040674 | 1 | 08/18/2020 | Customer Dispute | Settled | $145,000.00 | $0.00 | See FINRA Report |
| Jeffrey Charles McClellan | 2145884 | 2 | 07/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Franklin Richardson | 721293 | 7 | 06/09/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Keith Wayne Patterson | 2131574 | 7 | 06/09/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dustin Kyle Gersch | 4837908 | 1 | 04/06/2020 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Wayne L Anderson | 5576875 | 2 | 04/03/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Richard John Ukleja | 1375375 | 1 | 02/13/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Phillip James Strosahl | 3036467 | 1 | 02/12/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Parker Lenamon | 6822384 | 1 | 02/05/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |