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 |
|---|---|---|---|---|---|---|---|---|
| Denise Simone Sobczak | 3078128 | 4 | 06/15/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan William Lonske | 2594921 | 7 | 02/23/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Denise Simone Sobczak | 3078128 | 4 | 01/07/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John George Kallis | 4366410 | 2 | 07/01/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alexander Michael Panas | 2249803 | 1 | 05/28/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Stephen Williams | 1217117 | 1 | 10/24/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Andrew Rusowicz | 2229780 | 1 | 10/10/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Ross Armentor | 2342474 | 2 | 01/02/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Alan Moore | 2868148 | 2 | 01/08/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Iola | 2103831 | 3 | 12/31/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |