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 |
|---|---|---|---|---|---|---|---|---|
| Denise Simone Sobczak | 3078128 | 4 | 06/15/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan William Lonske | 2594921 | 7 | 02/23/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Denise Simone Sobczak | 3078128 | 4 | 01/07/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John George Kallis | 4366410 | 2 | 07/01/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan Charles Duffy | 1449366 | 1 | 11/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Aaron Bleznak | 2293696 | 6 | 07/19/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alexander Michael Panas | 2249803 | 1 | 05/28/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Denis Patrick O'Leary | 2179225 | 1 | 04/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Lee Fleming | 1267968 | 1 | 02/06/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Edward Obrien | 4292918 | 1 | 12/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |