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 |
|---|---|---|---|---|---|---|---|---|
| Brent Franklin Arnold | 5216992 | 1 | 09/24/2012 | Customer Dispute | Closed-No Action | $7,823.00 | $0.00 | See FINRA Report |
| Steven Zachary Heifetz | 2025743 | 1 | 07/19/2012 | Customer Dispute | Closed-No Action | $11,000.00 | $0.00 | See FINRA Report |
| Bernard Gerard van Eperen | 4521174 | 2 | 07/19/2012 | Customer Dispute | Denied | $57,969.20 | $0.00 | See FINRA Report |
| Stephen Patrick Fahy | 3060084 | 4 | 07/16/2012 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Ted Delaney Snow | 1650430 | 1 | 02/27/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard David Swanson | 1382295 | 1 | 11/10/2011 | Customer Dispute | Settled | $6,500.00 | $0.00 | See FINRA Report |
| Shawn Takao Okumura | 2855509 | 1 | 11/07/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jodie Michelle Booth | 4702192 | 1 | 11/03/2011 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Jonathan William Lonske | 2594921 | 4 | 09/23/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Deborah Julie Trouw | 5282284 | 2 | 09/12/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |