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 |
|---|---|---|---|---|---|---|---|---|
| Elwis Johnson | 6356996 | 5 | 12/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elwis Johnson | 6356996 | 5 | 12/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elwis Johnson | 6356996 | 5 | 12/18/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elwis Johnson | 6356996 | 5 | 12/18/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Morgan Marie Smith | 7171211 | 1 | 03/02/2018 | 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 |
| Gregory James Kenzik | 1423436 | 2 | 11/30/2017 | Financial | 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 |