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 |
|---|---|---|---|---|---|---|---|---|
| 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 | 3 | 06/10/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David Ryan Shober | 4501238 | 1 | 04/15/2020 | Customer Dispute | Denied | $5,554.00 | $0.00 | See FINRA Report |
| Walter Roland Valenzuela | 2280224 | 16 | 12/12/2019 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Larry David Slabotsky | 1294883 | 4 | 10/10/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark David Yadron | 1520648 | 8 | 08/12/2019 | Customer Dispute | Denied | $129,584.00 | $0.00 | See FINRA Report |
| Donald Gregory Baker | 2369255 | 1 | 07/24/2019 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |