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 |
|---|---|---|---|---|---|---|---|---|
| Robert Whittington Davis | 2137957 | 2 | 12/23/2013 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Christopher James Bradshaw | 2929353 | 4 | 08/27/2013 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Mitchell Brian Walk | 3195375 | 6 | 07/31/2013 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Kathleen Fish | 1826151 | 1 | 06/24/2013 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Mitchell Brian Walk | 3195375 | 6 | 06/05/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Walter Roland Valenzuela | 2280224 | 16 | 02/15/2013 | Customer Dispute | Settled | $59,931.00 | $0.00 | See FINRA Report |
| Scott Bennett Sade | 1069305 | 5 | 02/11/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Keith Alan Moore | 2868148 | 2 | 12/26/2012 | Customer Dispute | Settled | $5,295.60 | $0.00 | See FINRA Report |
| Michael Ronald Moleski | 2876091 | 1 | 12/19/2012 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Bernard Gerard van Eperen | 4521174 | 2 | 11/08/2012 | Customer Dispute | Denied | $109,520.00 | $0.00 | See FINRA Report |