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 |
|---|---|---|---|---|---|---|---|---|
| David Earl Archambault | 1240039 | 5 | 12/28/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nathan Donald Sealey | 2997307 | 6 | 12/23/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Aaron Bleznak | 2293696 | 6 | 11/19/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Gary Gustafson | 2409230 | 9 | 11/18/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Franklin Jeffrey McElroy | 2237589 | 7 | 06/23/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Franklin Jeffrey McElroy | 2237589 | 7 | 02/23/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Franklin Jeffrey McElroy | 2237589 | 7 | 02/23/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Gary Gustafson | 2409230 | 9 | 01/15/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Gary Gustafson | 2409230 | 9 | 09/17/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Girish Prakash Navare | 5901641 | 2 | 07/11/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |