According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Nebel (Nebel), previously associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nebel recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Saul Rothberger (Rothberger), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rothberger recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Burkott (Burkott), currently associated with Cetera Financial Specialists LLC / Cetera Wealth Services, LLC / Cetera Investment Services LLC / Cetera Advisors LLC / Avantax Investment Services, INC., has at least 2 disclosable events. These events…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Archibald Mcmichael (Mcmichael), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mcmichael recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hoss Esmaeili (Esmaeili), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Esmaeili recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Test (Test), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one regulatory event, alleging that Test recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Sullivan (Sullivan), previously associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sullivan recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Musser (Musser), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Musser recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sandeep Varma (Varma), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Varma recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Salinas (Salinas), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Salinas recommended unsuitable investments in different investment products including debt securities among other…