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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Dale Burcham | 2886681 | 1 | 02/08/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kerry Louise Lekas | 5641219 | 1 | 02/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dylan Gregory Levey | 4297808 | 2 | 01/21/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Conrad Ronald Schock III | 4596222 | 2 | 01/20/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nathan Steven Zielonka | 5261802 | 1 | 01/15/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shennoah Miller | 6034565 | 1 | 01/13/2016 | Customer Dispute | Denied | $6,701.67 | $0.00 | See FINRA Report |
| Daniyal I Ahmed | 6810774 | 2 | 01/04/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Justin David Rees | 5570895 | 1 | 12/29/2015 | Customer Dispute | Denied | $37,407.60 | $0.00 | See FINRA Report |
| Michael Vincent Milillo | 4990056 | 3 | 12/17/2015 | Customer Dispute | Withdrawn | $25,000.00 | $0.00 | See FINRA Report |
| Craig Richard Berry | 2408368 | 2 | 12/17/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |