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 |
|---|---|---|---|---|---|---|---|---|
| Timothy Michael McLaughlin | 2033543 | 1 | 05/06/2003 | Customer Dispute | Settled | $226,973.00 | $0.00 | See FINRA Report |
| Kevin Douglass Ellman | 2116368 | 4 | 04/11/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Glen Arthur Turner | 2503850 | 5 | 03/05/2003 | Customer Dispute | Settled | $32,275.00 | $0.00 | See FINRA Report |
| Thomas C Paron | 2112510 | 1 | 03/04/2003 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Howard Rod Hite | 246939 | 1 | 02/28/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Charles James Wetzel | 1934341 | 1 | 02/27/2003 | Customer Dispute | Settled | $5,500.00 | $0.00 | See FINRA Report |
| Ronald Bernard Wiser | 470549 | 6 | 02/07/2003 | Customer Dispute | Denied | $684,238.00 | $0.00 | See FINRA Report |
| Jody Gail Zirn | 2634404 | 2 | 12/20/2002 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Kevin G Thompson | 2614746 | 1 | 11/25/2002 | Customer Dispute | Settled | $170,000.00 | $0.00 | See FINRA Report |
| Gregory F Lamp | 720921 | 1 | 11/06/2002 | Customer Dispute | Settled | $1,250,000.00 | $0.00 | See FINRA Report |