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 |
|---|---|---|---|---|---|---|---|---|
| James Lee Bruce | 2502123 | 3 | 08/30/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Patrick Quinn | 843708 | 1 | 07/27/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Walter Newton Allen | 1267425 | 1 | 07/21/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lee Thomas Penland | 864806 | 3 | 05/10/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Douglas Carlson | 5584185 | 2 | 05/03/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nathan Donald Sealey | 2997307 | 4 | 02/18/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nathan Donald Sealey | 2997307 | 4 | 01/25/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Franklin Jeffrey McElroy | 2237589 | 8 | 01/24/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Thomas Dalena | 2221347 | 14 | 11/30/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Franklin Jeffrey McElroy | 2237589 | 8 | 07/20/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |