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 |
|---|---|---|---|---|---|---|---|---|
| Allison Clancy Hudson | 4755966 | 2 | 12/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Allison Clancy Hudson | 4755966 | 2 | 12/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sonya Louise Westfield | 6845156 | 1 | 10/14/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Judy Ann Boston | 4853793 | 1 | 07/05/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Gary Gustafson | 2409230 | 9 | 04/25/2016 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| 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 |