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 |
|---|---|---|---|---|---|---|---|---|
| Walter Roland Valenzuela | 2280224 | 16 | 04/18/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Snyder | 4532318 | 1 | 04/01/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nathan Donald Sealey | 2997307 | 6 | 11/02/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Thomas Armstrong | 1269827 | 3 | 10/31/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nathan Donald Sealey | 2997307 | 6 | 06/27/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Gary Gustafson | 2409230 | 9 | 05/03/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark David Yadron | 1520648 | 8 | 04/12/2023 | 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 | |
| James Douglas Carlson | 5584185 | 2 | 05/03/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nathan Donald Sealey | 2997307 | 6 | 02/18/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |