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 |
|---|---|---|---|---|---|---|---|---|
| Jeremy Nathan Swank | 3168639 | 3 | 12/29/2017 | Customer Dispute | Denied | $34,000.00 | $0.00 | See FINRA Report |
| Martin James Grattan | 2307626 | 2 | 11/06/2017 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Jonathan William Lonske | 2594921 | 4 | 10/03/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Walter Roland Valenzuela | 2280224 | 16 | 08/28/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Justin Walt Parker | 4364398 | 4 | 08/28/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Walter Roland Valenzuela | 2280224 | 16 | 08/24/2017 | Customer Dispute | Settled | $9,500,000.00 | $0.00 | See FINRA Report |
| Justin Walt Parker | 4364398 | 4 | 08/24/2017 | Customer Dispute | Settled | $9,500,000.00 | $0.00 | See FINRA Report |
| Mitchell Brian Walk | 3195375 | 6 | 08/14/2017 | Customer Dispute | Settled | $72,000.00 | $0.00 | See FINRA Report |
| Scott Eric Tobe | 4264479 | 1 | 06/29/2017 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Herbert Carl Smith | 427804 | 1 | 05/31/2017 | Customer Dispute | Settled | $2,097,930.00 | $0.00 | See FINRA Report |