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 |
|---|---|---|---|---|---|---|---|---|
| Morris Nathan Symson | 441596 | 3 | 04/22/1999 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Michael Lance Phillips | 1283402 | 3 | 03/19/1999 | Customer Dispute | Denied | $12,500.00 | $0.00 | See FINRA Report |
| Matthew Aaron Goldstein | 2637415 | 1 | 03/17/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Philip Giammarino | 1999395 | 1 | 09/23/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |