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 |
|---|---|---|---|---|---|---|---|---|
| Nathan Donald Sealey | 2997307 | 6 | 01/25/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jamie Charrise Eichwald | 5867522 | 2 | 10/25/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Franklin Jeffrey McElroy | 2237589 | 7 | 07/20/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brandon Hardee | 7199545 | 1 | 07/12/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Theodore James Zouzounis | 477170 | 2 | 03/19/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Earl Archambault | 1240039 | 5 | 02/02/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Douglas Carlson | 5584185 | 2 | 01/28/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph William Moyer | 1020245 | 8 | 01/15/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph William Moyer | 1020245 | 8 | 01/15/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Earl Archambault | 1240039 | 5 | 08/10/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |