Branch offices
0 offices
FINRA: Small firm
CRD #13686 · FINRA BrokerCheck + SEC IAPD
Avantax Investment Services, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Avantax Investment Services, Inc. ranks #282 of 20,055 by disclosure count (most disclosures first). Avantax Investment Services, Inc. carries 21 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 21
- disclosures
- #282 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 13686 Avantax Investment Services, Inc.
Avantax Investment Services, Inc. · Grade F · 21 disc · 21.00/office · Single-office firm
- CRD 13686
- GRADE F
- DISC 21
- REG 17
- ARB 4
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #282 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: BNY Clearing Services LLC (21.00 disc/office)
Avantax Investment Services, Inc. ranks #282 of 20,055 by disclosure count among graded broker-dealers; heavy load at 21.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 1/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
21 events
On FINRA BrokerCheck
Regulatory events
17 actions
81% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 17 |
| Arbitrations | 4 |
| Civil Events | 0 |
| Total | 21 |
Counts for Avantax Investment Services, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 17 Arbitration 4 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 13686
Regulator-heavy mix
Avantax Investment Services, Inc. in the heavier-disclosure third
Avantax Investment Services, Inc. carries 21 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#282 of 20,055). Regulator-initiated events are 81% of the book (17 regulatory / 4 arbitration / 0 civil).
81% of Avantax Investment Services, Inc.'s 21 disclosures are regulator-initiated (17 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Avantax Investment Services, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Avantax Investment Services, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Avantax Investment Services, Inc. ranks #282 of 20,055 by disclosure count (most disclosures first). Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of F mean for Avantax Investment Services, Inc.?
A grade of F reflects Avantax Investment Services, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 21 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Avantax Investment Services, Inc. have?
Avantax Investment Services, Inc. has 21 total FINRA disclosures, including 17 regulatory events, 4 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Avantax Investment Services, Inc.?
Avantax Investment Services, Inc. operates 0 branch offices and is classified by FINRA as a small firm (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Avantax Investment Services, Inc.'s disciplinary record?
You can verify Avantax Investment Services, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 13686. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Avantax Investment Services, Inc.'s 21 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Avantax Investment Services, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Avantax Investment Services, Inc. carries 21 disclosures across 0 branch offices (about 21.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- BNY Clearing Services LLC - 21.00 disclosures/office, nearest single-office firm peer to Avantax Investment Services, Inc.'s 21.00
- Cadaret, Grant & Co., Inc. - 21.00 disclosures/office, nearest single-office firm peer to Avantax Investment Services, Inc.'s 21.00
- Finance 500, Inc. - 21.00 disclosures/office, nearest single-office firm peer to Avantax Investment Services, Inc.'s 21.00
- Red Flags in Advisor Records - How to read Avantax Investment Services, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 21 disclosures behind Avantax Investment Services, Inc.'s Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Avantax Investment Services, Inc..
- Compare firms - put Avantax Investment Services, Inc. next to peers on grade and footprint.
Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.