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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Francis Shumosic | 1913737 | 1 | 05/30/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rocio Morales Derodriguez | 2516878 | 2 | 05/16/2019 | Customer Dispute | Closed-No Action | $7,000.00 | $0.00 | See FINRA Report |
| Gregory Eugene Bennington | 2663629 | 1 | 05/03/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Ross S Layton | 4465321 | 2 | 01/30/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Ross S Layton | 4465321 | 2 | 01/30/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Mark Sindrich | 1097529 | 2 | 11/29/2018 | Customer Dispute | Settled | $218,956.00 | $0.00 | See FINRA Report |
| Gerald Russell Wolsfelt | 4699014 | 1 | 10/24/2018 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Matthew David Raves | 5615774 | 8 | 10/10/2018 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |
| Chad Alan Keim | 2516391 | 6 | 09/24/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher P Ferrara | 4036895 | 2 | 09/22/2018 | Customer Dispute | Settled | $90,208.30 | $0.00 | See FINRA Report |