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 |
|---|---|---|---|---|---|---|---|---|
| Roberto Epigmenio Guzman | 4790113 | 1 | 06/16/2022 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |
| James Clemens Duncombe | 4574450 | 2 | 02/25/2022 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Walter Roland Valenzuela | 2280224 | 14 | 03/18/2021 | Customer Dispute | Closed-No Action | $280,000.00 | $0.00 | See FINRA Report |
| Joseph William Moyer | 1020245 | 8 | 08/25/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Carolyn Lloyd-Turbett | 854161 | 1 | 03/20/2020 | Customer Dispute | Closed-No Action | $63,000.00 | $0.00 | See FINRA Report |
| Rocio Morales Derodriguez | 2516878 | 2 | 05/16/2019 | Customer Dispute | Closed-No Action | $7,000.00 | $0.00 | See FINRA Report |
| Matthew Dawson Granai | 1771641 | 1 | 12/26/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Thomas Everett Rose | 404099 | 1 | 06/09/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Steven George Cohlmia | 1907495 | 2 | 04/20/2016 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Deborah Julie Trouw | 5282284 | 2 | 01/17/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |