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 |
|---|---|---|---|---|---|---|---|---|
| Adrian L Johnson | 6285024 | 3 | 01/25/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Adrian L Johnson | 6285024 | 3 | 12/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jody Gail Zirn | 2634404 | 2 | 12/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Needa Hazin | 4495452 | 1 | 10/29/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristi Ann Nash | 2634814 | 3 | 09/03/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ayelet Bisson | 4732322 | 2 | 08/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Thomas MacGowan | 2306406 | 3 | 08/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Thomas MacGowan | 2306406 | 3 | 08/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Thomas MacGowan | 2306406 | 3 | 08/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Paul Crawford | 2578404 | 1 | 06/22/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |