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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Scott Hamilton | 5770357 | 1 | 10/15/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gregory James Kenzik | 1423436 | 2 | 10/30/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Brandon Gotleib | 6229565 | 1 | 01/29/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dustin Joe Lee Engle | 7307443 | 1 | 03/20/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Xareni Hernandez | 6596914 | 1 | 08/02/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Brian Hebets | 5369475 | 1 | 07/24/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jacob Guy Cercone | 6068461 | 1 | 05/23/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mitchell Stanton Everett | 5765180 | 1 | 07/09/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Marc Mizrahi | 704712 | 5 | 09/24/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert James Miller | 1260606 | 2 | 05/07/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |