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 |
|---|---|---|---|---|---|---|---|---|
| Wade S Dillman | 6219382 | 1 | 02/25/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Donald Redfern | 6264425 | 7 | 02/20/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Charles Thomas | 1455306 | 2 | 02/13/2019 | Customer Dispute | Settled | $6,500.00 | $0.00 | See FINRA Report |
| Archibald William McMichael | 2997111 | 3 | 02/08/2019 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Derek Popock | 2411594 | 1 | 01/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Charles McClellan | 2145884 | 2 | 01/02/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Nathan Munro | 5912317 | 2 | 12/16/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Vernon Lee Hargrave | 6163654 | 1 | 12/04/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Frederick William Jackson | 2545657 | 1 | 11/26/2018 | Customer Dispute | Settled | $34,661.90 | $0.00 | See FINRA Report |
| Brad Matthew Allphin | 7284923 | 3 | 11/19/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |