Articles Tagged with AVANTAX INVESTMENT SERVICES

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Rapini (Rapini), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rapini recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 13, 2025.

Customers alleged assets were over concentrated into annuity products.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Kirkland (Kirkland), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kirkland recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $190,000.00 on April 02, 2025.

Customers alleged the investments they purchased were not suitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Kelly (Kelly), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kelly recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $190,000.00 on April 02, 2025.

Customers alleged the investments they purchased were not suitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Pugel (Pugel), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pugel recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $10,000.00 on April 03, 2024.

Customer alleged she incurred a surrender fee and market adjustment because of miscommunication of the surrender period associated with her annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Davin Carey (Carey), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Carey recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $125,000.00 on April 16, 2024.

Customers alleged the representative recommended an unsuitable investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Monica Osborne (Osborne), previously associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Osborne recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $200,000.00 on April 16, 2024.

Customer alleged the representative recommended an unsuitable investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Stahler (Stahler), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stahler recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on April 23, 2024.

Customer alleged the timing of their 2021 Roth IRA conversion led to a lost opportunity of market growth.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Bloom (Bloom), currently associated with Avantax Investment Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Bloom recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $160,000.00 on May 20, 2024.

Customer alleged the investments they purchased were not suitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Anderson (Anderson), previously associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Anderson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $50,000.00 on June 06, 2024.

Client alleges representative made unsuitable recommendations for purchase of an alternative investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker J. Brian Glaze (Glaze), currently associated with Avantax Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Glaze recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on June 13, 2024.

Customer alleged their investments were not suitable.

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