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 |
|---|---|---|---|---|---|---|---|---|
| James Thomas McManus | 2420277 | 2 | 11/05/2010 | Customer Dispute | Award / Judgment | $0.00 | $1,308,750.00 | See FINRA Report |
| Diego Alejandro Velasquez | 4336308 | 4 | 07/09/2010 | Customer Dispute | Award / Judgment | $25,000.00 | $25,000.00 | See FINRA Report |
| Michael Lance Phillips | 1283402 | 3 | 04/16/2001 | Customer Dispute | Award / Judgment | $100,000.00 | $25,840.00 | See FINRA Report |
| Thomas Michael Dolan | 1603214 | 2 | 03/13/2001 | Customer Dispute | Award / Judgment | $200,000.00 | $67,000.00 | See FINRA Report |
| Kevin John McPhee | 2316848 | 6 | 08/01/1996 | Customer Dispute | Award / Judgment | $9,000.00 | $10,000.00 | See FINRA Report |
| Morris Nathan Symson | 441596 | 3 | 01/01/1988 | Customer Dispute | Award / Judgment | $360,000.00 | $16,800.00 | See FINRA Report |