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 |
|---|---|---|---|---|---|---|---|---|
| Laura Christine Franklin | 6518573 | 4 | 05/13/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Samuel Werner | 5156926 | 1 | 05/06/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theresa Lynn Badgett | 4311314 | 3 | 05/05/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan William Bowers | 5360096 | 1 | 04/14/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Saul Adam Stephens | 2956457 | 1 | 04/06/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Shonah Yvette Turner | 4291415 | 3 | 04/01/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Wayne Downing | 2620904 | 1 | 02/26/2021 | Customer Dispute | Denied | $13,352.00 | $0.00 | See FINRA Report |
| David Glen Cartwright | 2529960 | 1 | 02/20/2021 | Customer Dispute | Denied | $24,000.00 | $0.00 | See FINRA Report |
| Charles Bedingfield Lanier | 1346764 | 1 | 02/16/2021 | Customer Dispute | Denied | $80,545.00 | $0.00 | See FINRA Report |
| Laura Christine Franklin | 6518573 | 4 | 02/05/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |