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 |
|---|---|---|---|---|---|---|---|---|
| Matthew David Raves | 5615774 | 8 | 02/05/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Alan Matney | 2485645 | 3 | 09/09/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Kathryn Duke | 2881819 | 5 | 04/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Kathryn Duke | 2881819 | 5 | 04/22/2020 | Financial | Final | $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 |
| 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 |