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 |
|---|---|---|---|---|---|---|---|---|
| Mark Heath Woodward | 4064469 | 1 | 08/21/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Mitchell Brian Walk | 3195375 | 6 | 02/20/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| David I Bunin | 4262781 | 2 | 02/20/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| John Edward Freiburger | 2163773 | 1 | 02/20/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| James Paul Studinger | 2725496 | 1 | 02/20/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Charles L Palmer | 4783503 | 2 | 12/04/2023 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Girish Prakash Navare | 5901641 | 2 | 07/28/2023 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Jon Christopher Vinge | 4445831 | 3 | 03/01/2023 | Customer Dispute | Pending | $701,211.00 | $0.00 | See FINRA Report |
| Pamela Sue Espinosa | 5865661 | 2 | 01/25/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Cristina Briboneria | 4961280 | 2 | 04/12/2022 | Customer Dispute | Pending | $28,500.00 | $0.00 | See FINRA Report |