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 |
|---|---|---|---|---|---|---|---|---|
| Scott Bennett Sade | 1069305 | 5 | 09/12/2006 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Robert James Miller | 1260606 | 2 | 08/28/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert L Bush | 36955 | 4 | 08/16/2006 | Customer Dispute | Closed-No Action | $6,800.00 | $0.00 | See FINRA Report |
| Ronald Bernard Wiser | 470549 | 6 | 07/03/2006 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Ronald Bernard Wiser | 470549 | 6 | 05/24/2006 | Customer Dispute | Denied | $352,765.00 | $0.00 | See FINRA Report |
| Andrew F Williams | 2091611 | 2 | 04/10/2006 | Customer Dispute | Denied | $33,000.00 | $0.00 | See FINRA Report |
| David Joseph Schnall | 1587999 | 3 | 02/22/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Ray Bennie | 2560709 | 7 | 11/09/2005 | Customer Dispute | Denied | $46,758.00 | $0.00 | See FINRA Report |
| Randall Nelson Smith | 1042283 | 4 | 10/19/2005 | Customer Dispute | Settled | $5,145,860.00 | $0.00 | See FINRA Report |
| Kevin Douglass Ellman | 2116368 | 4 | 10/07/2005 | Customer Dispute | Denied | $100,347.00 | $0.00 | See FINRA Report |