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 |
|---|---|---|---|---|---|---|---|---|
| Mark Clarence Becker | 2558944 | 1 | 02/28/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Burton Hall | 4744031 | 2 | 12/06/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Martin Lynn Ferguson | 2976854 | 1 | 06/29/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David I Bunin | 4262781 | 2 | 11/04/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Rebecca Lynn Hartnett | 3229681 | 1 | 10/04/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven J Cochlan | 1073586 | 2 | 04/01/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Ray Bennie | 2560709 | 7 | 11/02/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ronald E Mortellaro | 1897734 | 1 | 09/28/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeremy Nathan Swank | 3168639 | 3 | 01/20/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kevin Michael Filosa | 1798768 | 3 | 10/16/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |