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 |
|---|---|---|---|---|---|---|---|---|
| Walter Roland Valenzuela | 2280224 | 16 | 02/14/2011 | Customer Dispute | Closed-No Action | $17,500.00 | $0.00 | See FINRA Report |
| Jeffrey Michael Zufall | 2569529 | 2 | 01/12/2011 | Customer Dispute | Denied | $477,257.00 | $0.00 | See FINRA Report |
| John Thomas Keeney | 1514167 | 1 | 12/13/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth George Trinklein | 2926046 | 1 | 11/30/2010 | Customer Dispute | Settled | $11,357.00 | $0.00 | See FINRA Report |
| James Thomas McManus | 2420277 | 2 | 11/05/2010 | Customer Dispute | Award / Judgment | $0.00 | $1,308,750.00 | See FINRA Report |
| James Thomas McManus | 2420277 | 2 | 11/01/2010 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Robert Iola | 2103831 | 3 | 09/30/2010 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Andrew Louis Dropkin | 4231224 | 4 | 09/14/2010 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Al F Devji | 2309006 | 2 | 08/23/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Benjamin William Belanger | 5293459 | 4 | 08/17/2010 | Customer Dispute | Denied | $83,500.00 | $0.00 | See FINRA Report |