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 |
|---|---|---|---|---|---|---|---|---|
| Darren Edward Stephens | 4663520 | 1 | 09/20/2016 | Customer Dispute | Denied | $8,400.00 | $0.00 | See FINRA Report |
| Alfred Ponder | 2315144 | 2 | 08/30/2016 | Customer Dispute | Denied | $32,641.00 | $0.00 | See FINRA Report |
| Conrad Ronald Schock III | 4596222 | 2 | 08/08/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Kyle Brownlee | 3254746 | 2 | 07/12/2016 | Customer Dispute | Denied | $9,245.00 | $0.00 | See FINRA Report |
| Michael William Meschke | 5975108 | 2 | 06/27/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin James Larson | 3067781 | 2 | 05/16/2016 | Customer Dispute | Settled | $315,000.00 | $0.00 | See FINRA Report |
| Grace Chong Kim | 4206921 | 1 | 05/16/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Gary W Camp | 1759472 | 1 | 05/14/2016 | Customer Dispute | Denied | $17,900.00 | $0.00 | See FINRA Report |
| Jeffrey Craig Grodsky | 4481027 | 5 | 03/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Craig Richard Berry | 2408368 | 2 | 02/23/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |