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 | 12/31/1998 | Customer Dispute | Settled | $244,425.00 | $0.00 | See FINRA Report |
| Karen Shaw Cunningham | 1134960 | 3 | 10/01/1998 | Customer Dispute | Settled | $45,065.00 | $0.00 | See FINRA Report |
| John Robert Stockton | 836438 | 2 | 07/12/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth Craig Morris | 874609 | 2 | 07/02/1998 | Customer Dispute | Settled | $135,000.00 | $0.00 | See FINRA Report |
| Kenneth Craig Morris | 874609 | 2 | 07/01/1998 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Philip Giammarino | 1999395 | 1 | 09/23/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark David Yadron | 1520648 | 8 | 05/19/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Robert Stockton | 836438 | 2 | 09/04/1996 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Kevin John McPhee | 2316848 | 6 | 08/01/1996 | Customer Dispute | Award / Judgment | $9,000.00 | $10,000.00 | See FINRA Report |
| Stephen Leonard Friedman | 1107393 | 1 | 07/03/1996 | Customer Dispute | Settled | $2,500,000.00 | $0.00 | See FINRA Report |