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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Francis Serrecchia | 1278517 | 1 | 05/14/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Nelson Kirkland | 5602044 | 5 | 05/14/2024 | Customer Dispute | Pending | $999,000.00 | $0.00 | See FINRA Report |
| Kevin Lawrence Kelly | 2293119 | 7 | 05/14/2024 | Customer Dispute | Pending | $999,000.00 | $0.00 | See FINRA Report |
| David Allen Shaw | 5042178 | 1 | 05/09/2024 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Robert Harry Stahler | 2820704 | 1 | 04/23/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Davin J Carey | 5413012 | 2 | 04/16/2024 | Customer Dispute | Pending | $125,000.00 | $0.00 | See FINRA Report |
| Monica Alicia Osborne | 3256608 | 1 | 04/16/2024 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Lisa Aileen Pugel | 2506156 | 3 | 04/03/2024 | Customer Dispute | Pending | $10,000.00 | $0.00 | See FINRA Report |
| Chang-Hwa Grace Chen | 2670708 | 1 | 03/21/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kevin Lawrence Kelly | 2293119 | 7 | 03/19/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |