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 Michael Heilman | 5191836 | 1 | 05/22/2017 | Customer Dispute | Denied | $7,325.00 | $0.00 | See FINRA Report |
| Kevin James Bates | 1041009 | 1 | 04/13/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeremiah Charles Lorenz | 4185702 | 1 | 02/24/2017 | Customer Dispute | Settled | $2,500.00 | $0.00 | See FINRA Report |
| Larry David Slabotsky | 1294883 | 4 | 02/24/2017 | Customer Dispute | Denied | $11,930.00 | $0.00 | See FINRA Report |
| Chad Alan Keim | 2516391 | 6 | 02/13/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark David Yadron | 1520648 | 8 | 02/03/2017 | Customer Dispute | Settled | $5,095.35 | $0.00 | See FINRA Report |
| Martin James Grattan | 2307626 | 2 | 01/11/2017 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Mark David Yadron | 1520648 | 8 | 12/13/2016 | Customer Dispute | Settled | $8,983.26 | $0.00 | See FINRA Report |
| Mitchell Brian Walk | 3195375 | 6 | 10/04/2016 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Julie-Anne Lewis | 4311609 | 1 | 09/01/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |