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 |
|---|---|---|---|---|---|---|---|---|
| Patricia Ann Triboletti | 2455884 | 1 | 01/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremy Don Wood | 5997603 | 1 | 12/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Robert Paz | 7302073 | 1 | 12/07/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory James Kenzik | 1423436 | 2 | 11/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Andrew Rusowicz | 2229780 | 1 | 10/10/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Kathryn Duke | 2881819 | 5 | 07/12/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Allison Clancy Hudson | 4755966 | 2 | 12/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Allison Clancy Hudson | 4755966 | 2 | 12/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sonya Louise Westfield | 6845156 | 1 | 10/14/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Judy Ann Boston | 4853793 | 1 | 07/05/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |