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 |
|---|---|---|---|---|---|---|---|---|
| Brent Franklin Arnold | 5216992 | 1 | 09/24/2012 | Customer Dispute | Closed-No Action | $7,823.00 | $0.00 | See FINRA Report |
| Steven Zachary Heifetz | 2025743 | 1 | 07/19/2012 | Customer Dispute | Closed-No Action | $11,000.00 | $0.00 | See FINRA Report |
| Walter Roland Valenzuela | 2280224 | 16 | 05/11/2011 | Customer Dispute | Closed-No Action | $133,378.00 | $0.00 | See FINRA Report |
| Mitchell Brian Walk | 3195375 | 6 | 05/04/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Walter Roland Valenzuela | 2280224 | 16 | 02/14/2011 | Customer Dispute | Closed-No Action | $17,500.00 | $0.00 | See FINRA Report |
| Robert Iola | 2103831 | 3 | 09/30/2010 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| David Keith Sebastian | 1484490 | 2 | 04/29/2009 | Customer Dispute | Closed-No Action | $500,000.00 | $0.00 | See FINRA Report |
| Kevin John McPhee | 2316848 | 6 | 01/21/2009 | Customer Dispute | Closed-No Action | $16,088.00 | $0.00 | See FINRA Report |
| Matthew Philip Douglas | 4835729 | 1 | 01/14/2009 | Customer Dispute | Closed-No Action | $130,000.00 | $0.00 | See FINRA Report |
| Robert Ray Bennie | 2560709 | 7 | 11/03/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |