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 |
|---|---|---|---|---|---|---|---|---|
| Randall Nelson Smith | 1042283 | 4 | 08/04/2005 | Customer Dispute | Settled | $5,145,860.00 | $0.00 | See FINRA Report |
| Altair Miro Gobo | 1081870 | 3 | 07/14/2005 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Robert L Bush | 36955 | 4 | 07/13/2005 | Customer Dispute | Settled | $100,626.00 | $0.00 | See FINRA Report |
| James Michael Hill | 2699250 | 2 | 07/06/2005 | Customer Dispute | Settled | $6,744.43 | $0.00 | See FINRA Report |
| William Dax Symonds | 2809944 | 1 | 07/05/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Marc Mizrahi | 704712 | 5 | 05/31/2005 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| John Fikes Hill | 1994380 | 1 | 05/13/2005 | Customer Dispute | Settled | $32,226.00 | $0.00 | See FINRA Report |
| Thomas J Biadas | 1523005 | 2 | 03/31/2005 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| David Marc Mizrahi | 704712 | 5 | 02/07/2005 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Ronald Bernard Wiser | 470549 | 6 | 11/30/2004 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |