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 |
|---|---|---|---|---|---|---|---|---|
| Tom Howard Cates | 1341624 | 1 | 11/03/2004 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Ricardo Mark Montejano | 1275284 | 1 | 09/06/2002 | Customer Dispute | Closed-No Action | $641,000.00 | $0.00 | See FINRA Report |
| David Aaron Bleznak | 2293696 | 6 | 03/15/2002 | Customer Dispute | Closed-No Action | $13,846.00 | $0.00 | See FINRA Report |
| Glen Arthur Turner | 2503850 | 5 | 01/15/2002 | Customer Dispute | Closed-No Action | $90,000.00 | $0.00 | See FINRA Report |
| Larry David Slabotsky | 1294883 | 4 | 09/05/2001 | Customer Dispute | Closed-No Action | $251,671.00 | $0.00 | See FINRA Report |
| Gary Rene Sagarnaga | 1405414 | 1 | 12/14/2000 | Customer Dispute | Closed-No Action | $41,000.00 | $0.00 | See FINRA Report |