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 |
| Gerald Russell Wolsfelt | 4699014 | 1 | 10/24/2018 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| William J Thompson | 4753071 | 2 | 06/04/2018 | Customer Dispute | Denied | $168,000.00 | $0.00 | See FINRA Report |
| Christopher James Bradshaw | 2929353 | 4 | 03/09/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Willdon Barnes | 1058851 | 1 | 03/09/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Beth Ann Richardson | 2056964 | 1 | 02/28/2018 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Peter George Cohlmia | 5734382 | 1 | 02/21/2018 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Karen Shaw Cunningham | 1134960 | 3 | 02/13/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jay Hale Cavanagh | 2159026 | 1 | 01/03/2018 | Customer Dispute | Denied | $185,819.00 | $0.00 | See FINRA Report |
| Jeremy Nathan Swank | 3168639 | 3 | 12/29/2017 | Customer Dispute | Denied | $34,000.00 | $0.00 | See FINRA Report |