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 |
|---|---|---|---|---|---|---|---|---|
| Michael Richard Hyser | 2322261 | 3 | 04/28/2023 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| James Stafford Morrison | 1254375 | 1 | 12/15/2022 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Jon Christopher Vinge | 4445831 | 3 | 09/27/2022 | Customer Dispute | Settled | $183,000.00 | $0.00 | See FINRA Report |
| Jose R Vidueira | 2307554 | 1 | 09/16/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Benjamin William Belanger | 5293459 | 4 | 09/15/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Karen Shaw Cunningham | 1134960 | 3 | 08/01/2022 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Marc Vincent Fragola | 1751871 | 1 | 06/10/2022 | Customer Dispute | Settled | $46,000.00 | $0.00 | See FINRA Report |
| Anthony J Seifert | 6514406 | 2 | 02/22/2022 | 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 |