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 |
|---|---|---|---|---|---|---|---|---|
| Jamie Charrise Eichwald | 5867522 | 2 | 12/17/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Theodore James Zouzounis | 477170 | 2 | 11/26/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Keith Andrew Borgfeldt | 2192171 | 2 | 10/31/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Keith Sebastian | 1484490 | 2 | 10/02/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph William Moyer | 1020245 | 8 | 08/08/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Aaron Bleznak | 2293696 | 6 | 03/26/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Earl Archambault | 1240039 | 5 | 12/31/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Carrie Dawn Cocanour | 3164962 | 1 | 11/20/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Franklin Jeffrey McElroy | 2237589 | 7 | 11/06/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph William Moyer | 1020245 | 8 | 09/13/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |