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 |
|---|---|---|---|---|---|---|---|---|
| Michael Ronald Moleski | 2876091 | 1 | 12/19/2012 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Bernard Gerard van Eperen | 4521174 | 2 | 11/08/2012 | Customer Dispute | Denied | $109,520.00 | $0.00 | See FINRA Report |
| Bernard Gerard van Eperen | 4521174 | 2 | 07/19/2012 | Customer Dispute | Denied | $57,969.20 | $0.00 | See FINRA Report |
| Shawn Takao Okumura | 2855509 | 1 | 11/07/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jodie Michelle Booth | 4702192 | 1 | 11/03/2011 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Morris Nathan Symson | 441596 | 3 | 08/11/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Roger Kent Harris | 2357959 | 1 | 06/01/2011 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Ronald Bernard Wiser | 470549 | 6 | 05/23/2011 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Wesley Graham Lentz | 3111134 | 1 | 03/14/2011 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jeffrey Michael Zufall | 2569529 | 2 | 01/12/2011 | Customer Dispute | Denied | $477,257.00 | $0.00 | See FINRA Report |