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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Anthony Engro | 1456472 | 2 | 12/27/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Diamond | 1129298 | 1 | 12/27/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Cutler Arnold | 1178562 | 4 | 02/03/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dyanne Michelle Ross-Hanson | 1017504 | 2 | 11/07/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Ray Small | 4494575 | 2 | 06/30/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Richard Hyser | 2322261 | 3 | 10/23/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Richard Hyser | 2322261 | 3 | 02/13/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce Emery Carlson | 1043071 | 1 | 10/08/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Paul Hoover | 1792448 | 1 | 06/12/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Denise Lee Garten | 1715462 | 2 | 04/22/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |