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 |
|---|---|---|---|---|---|---|---|---|
| Vincent Paul Sturm | 3128214 | 2 | 08/15/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Theodore Michael Jenkin | 2169338 | 3 | 09/08/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William J. Thompson | 4753071 | 2 | 09/08/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Van Constantine Pappas | 4330560 | 1 | 09/08/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Cristina Briboneria | 4961280 | 2 | 09/08/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eric Donato Pucciarelli | 5130128 | 2 | 09/08/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kile Eugene Lewis | 2606798 | 2 | 09/08/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Shiraz Syed Zaidi | 5956510 | 1 | 02/25/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jack Charles West | 1735378 | 5 | 01/30/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Matthew Joseph Acheson | 4184314 | 1 | 12/18/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |