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 | 02/19/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew David Raves | 5615774 | 8 | 02/11/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew David Raves | 5615774 | 8 | 02/05/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Alan Matney | 2485645 | 3 | 09/09/2020 | Financial | 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 |
| Mary Kathryn Duke | 2881819 | 5 | 04/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Kathryn Duke | 2881819 | 5 | 04/22/2020 | Financial | 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 |