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 |
|---|---|---|---|---|---|---|---|---|
| Bruce Emery Carlson | 1043071 | 1 | 10/08/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Paul Hoover | 1792448 | 1 | 06/12/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Denise Lee Garten | 1715462 | 2 | 04/22/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Allen Breault | 1757281 | 1 | 06/28/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alan Lewis Meltzer | 1092083 | 2 | 01/01/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Monica Jane Placek | 2782011 | 1 | 06/09/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Rigby Carey | 846339 | 5 | 04/09/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven George Cohlmia | 1907495 | 2 | 05/01/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Rigby Carey | 846339 | 5 | 05/01/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Douglass Ellman | 2116368 | 4 | 06/25/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |