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 | 05/30/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Paul Stephenson | 3071193 | 1 | 05/28/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Duane Mead | 2569289 | 5 | 05/28/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patrick Robert George | 4334319 | 1 | 05/15/2019 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| James Allen Legg | 2698698 | 11 | 04/25/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Allen Legg | 2698698 | 11 | 04/25/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Allen Legg | 2698698 | 11 | 04/25/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank H Kelly | 2028226 | 6 | 04/09/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brad Matthew Allphin | 7284923 | 3 | 02/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Doreen Antoinette Dixon | 2850766 | 1 | 02/25/2019 | Customer Dispute | Settled | $1,746.00 | $0.00 | See FINRA Report |