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 |
|---|---|---|---|---|---|---|---|---|
| Matthew David Raves | 5615774 | 8 | 01/12/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Allen Shimer | 2938700 | 1 | 06/05/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Julie Ann Nored | 5225326 | 1 | 06/07/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Kathryn Duke | 2881819 | 5 | 12/19/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew David Raves | 5615774 | 8 | 07/29/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Kathryn Duke | 2881819 | 5 | 06/04/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew David Raves | 5615774 | 8 | 05/11/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Samuel Wesley Sanso | 7676473 | 1 | 05/03/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew David Raves | 5615774 | 8 | 04/21/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan William Lonske | 2594921 | 4 | 02/23/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |