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 |
|---|---|---|---|---|---|---|---|---|
| Larry Dorame | 2284541 | 1 | 07/06/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Virginia Ann Hodge | 1776344 | 1 | 03/07/2006 | 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 | |
| Philip Eric Johnson | 2975044 | 1 | 06/07/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher P Ferrara | 4036895 | 2 | 06/24/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Erving Ryan | 2060510 | 1 | 11/02/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen Cutler Arnold | 1178562 | 4 | 08/23/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Raymond Catipon Abracosa | 2219717 | 1 | 05/28/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Clifford Louis Giles | 1314230 | 2 | 06/21/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |