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 |
|---|---|---|---|---|---|---|---|---|
| Sean B Halling | 6203252 | 1 | 05/08/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kirby Leigh Ososki | 5427134 | 1 | 04/29/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eric Michael Johnson | 5993374 | 1 | 04/12/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Lance Phillips | 1283402 | 3 | 01/26/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Javier Agustin Trevino | 6404236 | 1 | 09/08/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lisa M Turner | 4382665 | 1 | 05/20/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Anthony J Seifert | 6514406 | 2 | 03/23/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Lee Greer | 4185363 | 1 | 07/13/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ronald Gray Kiser | 3228861 | 1 | 05/21/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mary Elise Flanigan | 4760492 | 1 | 11/09/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |