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 |
|---|---|---|---|---|---|---|---|---|
| Denis Patrick O'Leary | 2179225 | 1 | 04/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Alan Matney | 2485645 | 3 | 03/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Alan Matney | 2485645 | 3 | 02/25/2019 | 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 |
| Elwis Johnson | 6356996 | 5 | 12/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elwis Johnson | 6356996 | 5 | 12/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elwis Johnson | 6356996 | 5 | 12/18/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elwis Johnson | 6356996 | 5 | 12/18/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Stephen Williams | 1217117 | 1 | 10/24/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Morgan Marie Smith | 7171211 | 1 | 03/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |