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 |
|---|---|---|---|---|---|---|---|---|
| Joshua Matthew Bromberg | 2993731 | 1 | 12/18/2010 | 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 | |
| Larry Dorame | 2284541 | 1 | 07/06/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gregory Hagan Clough | 2587777 | 1 | 08/04/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas J Biadas | 1523005 | 2 | 02/24/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dyanne Michelle Ross-Hanson | 1017504 | 2 | 08/12/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eric John Zipfel | 3204894 | 1 | 03/21/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Philip Eric Johnson | 2975044 | 1 | 06/07/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |