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 |
|---|---|---|---|---|---|---|---|---|
| Adrian Trent Podsednik | 4606988 | 2 | 10/16/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Desiree Christine Ebhert | 6962940 | 1 | 10/16/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alfred Ponder | 2315144 | 2 | 09/20/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mary Pat Mullen | 6394573 | 6 | 09/10/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cari Valita Barnes | 5928889 | 2 | 08/29/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gregory David Vasher | 3058790 | 1 | 08/05/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Coley | 6086556 | 2 | 07/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shonah Yvette Turner | 4291415 | 3 | 07/16/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Michael Smith | 7058713 | 1 | 07/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Coley | 6086556 | 2 | 06/05/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |