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 |
|---|---|---|---|---|---|---|---|---|
| Robert Michael Olson | 3179940 | 3 | 10/17/2002 | Customer Dispute | Denied | $17,605.10 | $0.00 | See FINRA Report |
| Brian David Siano | 2813361 | 1 | 10/14/2002 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Rainey Steven Rogers | 1839823 | 3 | 09/16/2002 | Customer Dispute | Settled | $1,100,000.00 | $0.00 | See FINRA Report |
| Ricardo Mark Montejano | 1275284 | 1 | 09/06/2002 | Customer Dispute | Closed-No Action | $641,000.00 | $0.00 | See FINRA Report |
| Miriam Lopez | 2394793 | 1 | 08/21/2002 | Customer Dispute | Denied | $140,000.00 | $0.00 | See FINRA Report |
| Randall Nelson Smith | 1042283 | 4 | 08/19/2002 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| B Frank Voigt | 1710649 | 2 | 08/19/2002 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Kittredge Lee Griffin | 1144522 | 1 | 08/09/2002 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Larry Ronald Blair | 849940 | 1 | 08/08/2002 | Customer Dispute | Denied | $56,505.00 | $0.00 | See FINRA Report |
| Glen Arthur Turner | 2503850 | 5 | 07/19/2002 | Customer Dispute | Denied | $373,000.00 | $0.00 | See FINRA Report |