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 |
|---|---|---|---|---|---|---|---|---|
| Tami Lee | 7065641 | 1 | 09/19/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Dickerson | 7712701 | 1 | 09/14/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher Nelson Kirkland | 5602044 | 5 | 08/31/2023 | Customer Dispute | Settled | $585,000.00 | $0.00 | See FINRA Report |
| Kevin Lawrence Kelly | 2293119 | 7 | 08/31/2023 | Customer Dispute | Settled | $585,000.00 | $0.00 | See FINRA Report |
| Christopher Nelson Kirkland | 5602044 | 5 | 08/22/2023 | Customer Dispute | Pending | $735,004.00 | $0.00 | See FINRA Report |
| Kevin Lawrence Kelly | 2293119 | 7 | 08/22/2023 | Customer Dispute | Pending | $735,004.00 | $0.00 | See FINRA Report |
| Aderon Alan Napier | 4654167 | 2 | 06/29/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Archibald William McMichael | 2997111 | 3 | 06/27/2023 | Customer Dispute | Settled | $105,000.00 | $0.00 | See FINRA Report |
| Charles Thomas Winn | 4205077 | 2 | 05/26/2023 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Lisa Aileen Pugel | 2506156 | 3 | 05/26/2023 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |