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 |
|---|---|---|---|---|---|---|---|---|
| Maya Watson | 7279417 | 1 | 09/01/2022 | Financial | Pending | $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 |
| Denis Patrick O'Leary | 2179225 | 1 | 04/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Lee Fleming | 1267968 | 1 | 02/06/2019 | 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 |
| Lucia Pinon | 7049069 | 1 | 07/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| 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 |