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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Louis Dropkin | 4231224 | 4 | 04/20/2009 | Customer Dispute | Denied | $225,000.00 | $0.00 | See FINRA Report |
| David Eaton Rathgeb | 4443906 | 1 | 04/13/2009 | Customer Dispute | Denied | $35,691.90 | $0.00 | See FINRA Report |
| Wesley Derek Oglesby | 4444189 | 2 | 04/07/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Michael Coffey | 2240258 | 1 | 02/23/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Clayton Crawford | 4026357 | 1 | 02/05/2009 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Paul James McArthur | 4836288 | 1 | 01/27/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Andrew Mayer | 4183123 | 1 | 01/27/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Edward Paul Oxford | 4668474 | 1 | 01/15/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Todd Wayne Reno | 2763579 | 1 | 10/20/2008 | Customer Dispute | Denied | $73,000.00 | $0.00 | See FINRA Report |
| Paul Andrew Caylor | 3005714 | 1 | 09/18/2008 | Customer Dispute | Denied | $150.00 | $0.00 | See FINRA Report |