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 Lamond Russell | 4192857 | 1 | 08/11/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Mason Bartenstein | 2503260 | 1 | 07/30/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anthony Joseph Landi | 2865410 | 3 | 06/30/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Keith Andrew Borgfeldt | 2192171 | 2 | 05/08/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles L Palmer | 4783503 | 2 | 05/05/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anthony Joseph Landi | 2865410 | 3 | 04/21/2008 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Hance Stanley Evans | 1073412 | 1 | 04/08/2008 | Customer Dispute | Denied | $173,682.00 | $0.00 | See FINRA Report |
| Clifford Louis Giles | 1314230 | 2 | 04/04/2008 | Customer Dispute | Denied | $24,000.00 | $0.00 | See FINRA Report |
| John Pomeroy | 3154217 | 1 | 04/01/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rocio Morales Derodriguez | 2516878 | 2 | 04/01/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |