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 |
|---|---|---|---|---|---|---|---|---|
| August David Consiglio | 1516553 | 1 | 01/03/2023 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jon David Goldstein | 2462505 | 1 | 10/16/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Walter Roland Valenzuela | 2280224 | 14 | 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 |
| 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 |
| Eric Stephen Matthew Kee | 2718062 | 1 | 09/15/2020 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| William Robert Gese | 2975861 | 1 | 06/29/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kenneth Kyle Knox | 4430828 | 2 | 06/10/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| William Martin Kaiser | 1374561 | 2 | 01/31/2020 | Customer Dispute | Denied | $36,000.00 | $0.00 | See FINRA Report |