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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Michael Dick | 2928617 | 1 | 10/29/2021 | Customer Dispute | Denied | $62,569.00 | $0.00 | See FINRA Report |
| Benjamin William Belanger | 5293459 | 4 | 07/02/2021 | Customer Dispute | Settled | $271,600.00 | $0.00 | See FINRA Report |
| Benjamin William Belanger | 5293459 | 4 | 06/30/2021 | Customer Dispute | Settled | $271,000.00 | $0.00 | See FINRA Report |
| Walter Roland Valenzuela | 2280224 | 16 | 06/21/2021 | Customer Dispute | Denied | $15,334.00 | $0.00 | See FINRA Report |
| Joseph William Moyer | 1020245 | 8 | 03/29/2021 | Customer Dispute | Denied | $189,000.00 | $0.00 | See FINRA Report |
| Walter Roland Valenzuela | 2280224 | 16 | 03/18/2021 | Customer Dispute | Closed-No Action | $280,000.00 | $0.00 | See FINRA Report |
| Justin Walt Parker | 4364398 | 4 | 03/18/2021 | Customer Dispute | Closed-No Action | $280,000.00 | $0.00 | See FINRA Report |
| Theodore Charles Horowitz | 2529174 | 1 | 03/01/2021 | Customer Dispute | Denied | $7,796.13 | $0.00 | See FINRA Report |
| Zachary Butler | 4458579 | 1 | 01/05/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark David Yadron | 1520648 | 8 | 10/09/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |