Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Avantax Investment Services (f/k/a HD Vest Investment Services). If you suffered losses investing with Avantax Investment Services (f/k/a HD Vest Investment Services), then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Avantax Investment Services (f/k/a HD Vest Investment Services) (CRD# 13686) (SEC# 8-29533)
As of April 4, 2020, Avantax Investment Services (f/k/a HD Vest Investment Services)’s FINRA BrokerCheck Report contains the following:
14 Regulatory Event Disclosures
4 Arbitration Disclosures
1 Bond Disclosures
Main Office Location
6333 NORTH STATE HIGHWAY 161
4TH FLOOR
IRVING, TX 75038-2200
UNITED STATES
Mailing Address
6333 NORTH STATE HIGHWAY 161
4TH FLOOR
IRVING, TX 75038-2200
UNITED STATES
Business Telephone Number
972-870-6000
Direct Owners and Executive Officers
AVANTAX WEALTH MANAGEMENT, INC., SOLE SHAREHOLDER
GRIFFIN, CASEY JAMES (CRD#:3124214), CHIEF COMPLIANCE OFFICER, ASST SECRETARY
GRIFFIN, CASEY JAMES (CRD#:3124214), REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL
MACKAY, TODD CHRISTOPHER (CRD#:2799860), CHIEF BUSINESS OPERATIONS AND DEVELOPMENT OFFICER
ROD, CHRIS G (CRD#:4260939), PRINCIPAL FINANCIAL OFFICER
VASQUEZ, ENRIQUE MARTIN (CRD#:2385061), PRESIDENT/SECRETARY
WALTON, WENDY WYNETTE (CRD#:2883254), ASSISTANT SECRETARY
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Avantax Investment Services (f/k/a HD Vest Investment Services) and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
