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 |
|---|---|---|---|---|---|---|---|---|
| Jonathan Allen Shimer | 2938700 | 1 | 06/05/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan William Lonske | 2594921 | 4 | 02/23/2021 | 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 |
| Jeffrey A Shelton | 2093860 | 1 | 01/13/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Richard Delaney | 2222130 | 1 | 05/19/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Michael Filosa | 1798768 | 3 | 05/15/2014 | 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 |