Our Staff has compiled our research into a database of FINRA Broker Disclosures for Kestra Investment Services, LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Mark Heath Woodward | 4064469 | 1 | 08/21/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Sean B Halling | 6203252 | 1 | 05/08/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kirby Leigh Ososki | 5427134 | 1 | 04/29/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Walter Roland Valenzuela | 2280224 | 16 | 04/18/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric Michael Johnson | 5993374 | 1 | 04/12/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Snyder | 4532318 | 1 | 04/01/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mitchell Brian Walk | 3195375 | 6 | 02/20/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Philip Joseph Amos | 3262155 | 1 | 02/20/2024 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| David I Bunin | 4262781 | 2 | 02/20/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| John Edward Freiburger | 2163773 | 1 | 02/20/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |