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 |
|---|---|---|---|---|---|---|---|---|
| Richard Salinas | 6041179 | 1 | 03/13/2024 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Laura Christine Franklin | 6518573 | 4 | 02/29/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Kenneth Allan Ulrich | 1017571 | 3 | 02/27/2024 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| Mark James Bloom | 6933619 | 2 | 02/16/2024 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Steven Joseph Musser | 2152088 | 2 | 02/08/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Sandeep Varma | 1926613 | 3 | 02/08/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Peter Maniscalco | 4435025 | 1 | 12/18/2023 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Artiz Demetrius Stroud | 5362366 | 1 | 12/16/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Brian Test | 2341570 | 5 | 10/26/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Donald Redfern | 6264425 | 7 | 10/04/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |