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 |
|---|---|---|---|---|---|---|---|---|
| Jeffery Jay Seitz | 2454097 | 3 | 12/11/2007 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Ralph Antolino | 1007885 | 1 | 11/12/2007 | Customer Dispute | Closed-No Action | $9,725.00 | $0.00 | See FINRA Report |
| Christian Michael Hertl | 4914511 | 1 | 11/12/2007 | Customer Dispute | Closed-No Action | $9,725.00 | $0.00 | See FINRA Report |
| Matthew Robert West | 2667878 | 1 | 06/18/2007 | Customer Dispute | Closed-No Action | $500,000.00 | $0.00 | See FINRA Report |
| David Michael Combs | 2738188 | 4 | 06/18/2007 | Customer Dispute | Closed-No Action | $500,000.00 | $0.00 | See FINRA Report |
| Mark Thomas Dalena | 2221347 | 14 | 11/01/2006 | Customer Dispute | Closed-No Action | $6,700.00 | $0.00 | See FINRA Report |
| Robert L Bush | 36955 | 4 | 08/16/2006 | Customer Dispute | Closed-No Action | $6,800.00 | $0.00 | See FINRA Report |
| Elizabeth Jane Blanchard | 2474798 | 1 | 08/15/2005 | Customer Dispute | Closed-No Action | $7,560.00 | $0.00 | See FINRA Report |
| Andrew Louis Dropkin | 4231224 | 4 | 05/09/2005 | Customer Dispute | Closed-No Action | $15,061.00 | $0.00 | See FINRA Report |
| Jacob Mitrani Leon | 3119365 | 1 | 03/31/2005 | Customer Dispute | Closed-No Action | $300,000.00 | $0.00 | See FINRA Report |