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 |
|---|---|---|---|---|---|---|---|---|
| Anthony J Seifert | 6514406 | 2 | 02/22/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Andrew Gelbman | 4533497 | 3 | 01/28/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Benjamin William Belanger | 5293459 | 4 | 07/02/2021 | Customer Dispute | Settled | $271,600.00 | $0.00 | See FINRA Report |
| Benjamin William Belanger | 5293459 | 4 | 06/30/2021 | Customer Dispute | Settled | $271,000.00 | $0.00 | See FINRA Report |
| Mark Andrew Gelbman | 4533497 | 3 | 12/31/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark David Yadron | 1520648 | 7 | 10/09/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Walter Roland Valenzuela | 2280224 | 14 | 09/18/2020 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Walter Roland Valenzuela | 2280224 | 14 | 09/17/2020 | Customer Dispute | Settled | $104,000.00 | $0.00 | See FINRA Report |
| Walter Roland Valenzuela | 2280224 | 14 | 06/22/2020 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Athishay Gangadharan | 5531128 | 2 | 06/03/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |