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 |
|---|---|---|---|---|---|---|---|---|
| Thomas William Ostrosky | 2181276 | 3 | 02/08/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ayelet Bisson | 4732322 | 2 | 01/24/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert L Bush | 36955 | 4 | 12/31/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Earl McCarter | 4856079 | 4 | 08/01/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Patrick Fahy | 3060084 | 4 | 01/13/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Patrick Fahy | 3060084 | 4 | 01/19/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gerald Roger Arndt | 2743364 | 1 | 11/25/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Neil Henry Gendreau | 2381964 | 1 | 07/17/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Burton Hall | 4744031 | 2 | 11/17/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Dewayne Brown | 2002008 | 2 | 10/17/2002 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |