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 |
|---|---|---|---|---|---|---|---|---|
| Mary Pat Mullen | 6394573 | 6 | 09/25/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniyal I Ahmed | 6810774 | 2 | 09/23/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Glenn Thoresen | 4947776 | 2 | 09/05/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Glenn Thoresen | 4947776 | 2 | 09/05/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Duane Mead | 2569289 | 5 | 08/14/2017 | Judgment / Lien | $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 |
| Gail Annette Barnes | 4576929 | 2 | 07/11/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Lloyd Arnold | 1240901 | 1 | 04/19/2017 | Customer Dispute | Closed-No Action | $20,359.50 | $0.00 | See FINRA Report |
| Lisa Mischele Guillory | 2119094 | 1 | 03/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sandy Magid | 3138610 | 1 | 03/19/2017 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |