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 |
|---|---|---|---|---|---|---|---|---|
| James Stafford Morrison | 1254375 | 1 | 12/15/2022 | Customer Dispute | Pending | $150,000.00 | $0.00 | See FINRA Report |
| Benjamin William Belanger | 5293459 | 4 | 09/15/2022 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Delon Thomas Mansour | 5531114 | 1 | 09/02/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Maya Watson | 7279417 | 1 | 09/01/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Karen Shaw Cunningham | 1134960 | 3 | 08/01/2022 | Customer Dispute | Pending | $150,000.00 | $0.00 | See FINRA Report |
| Marc Vincent Fragola | 1751871 | 1 | 06/10/2022 | Customer Dispute | Pending | $46,000.00 | $0.00 | See FINRA Report |
| Frank Phillip Hill | 2208115 | 1 | 05/31/2022 | Customer Dispute | Pending | $325,000.00 | $0.00 | See FINRA Report |
| Cristina Briboneria | 4961280 | 2 | 04/12/2022 | Customer Dispute | Pending | $28,500.00 | $0.00 | See FINRA Report |
| Daniel William Sopher | 1254823 | 2 | 04/26/2021 | Customer Dispute | Pending | $73,000.00 | $0.00 | See FINRA Report |
| Steven Ira Hein | 4433826 | 2 | 12/29/2020 | Customer Dispute | Pending | $256,000.00 | $0.00 | See FINRA Report |