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 |
|---|---|---|---|---|---|---|---|---|
| Brian C Duttera | 1663644 | 3 | 06/11/2001 | Customer Dispute | Denied | $114,700.00 | $0.00 | See FINRA Report |
| Daniel Joseph Ferrara | 1908029 | 1 | 06/05/2001 | Customer Dispute | Settled | $140,206.00 | $0.00 | See FINRA Report |
| Michael Lance Phillips | 1283402 | 3 | 04/16/2001 | Customer Dispute | Award / Judgment | $100,000.00 | $25,840.00 | See FINRA Report |
| Robert Iola | 2103831 | 3 | 04/09/2001 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Thomas Michael Dolan | 1603214 | 2 | 03/13/2001 | Customer Dispute | Award / Judgment | $200,000.00 | $67,000.00 | See FINRA Report |
| David Michael Combs | 2738188 | 4 | 02/20/2001 | Customer Dispute | Settled | $81,974.90 | $0.00 | See FINRA Report |
| Ben Kronish | 1411327 | 1 | 02/01/2001 | Customer Dispute | Settled | $12,300.00 | $0.00 | See FINRA Report |
| Gary Rene Sagarnaga | 1405414 | 1 | 12/14/2000 | Customer Dispute | Closed-No Action | $41,000.00 | $0.00 | See FINRA Report |
| Jack Charles West | 1735378 | 5 | 09/25/2000 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Denise Lee Garten | 1715462 | 2 | 09/22/2000 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |