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 | 08/23/2004 | Customer Dispute | Settled | $5,145,860.00 | $0.00 | See FINRA Report |
| Ronald Harris McNeese | 2636676 | 1 | 02/02/2004 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Robert Sack | 602561 | 2 | 07/28/2003 | Customer Dispute | Settled | $425,000.00 | $0.00 | See FINRA Report |
| David Michael Combs | 2738188 | 4 | 06/23/2003 | Customer Dispute | Settled | $10,379.50 | $0.00 | See FINRA Report |
| Timothy Ross Armentor | 2342474 | 2 | 06/12/2003 | Customer Dispute | Settled | $13,600.00 | $0.00 | See FINRA Report |
| Timothy Michael McLaughlin | 2033543 | 1 | 05/06/2003 | Customer Dispute | Settled | $226,973.00 | $0.00 | See FINRA Report |
| Kevin Douglass Ellman | 2116368 | 4 | 04/11/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Glen Arthur Turner | 2503850 | 5 | 03/05/2003 | Customer Dispute | Settled | $32,275.00 | $0.00 | See FINRA Report |
| Thomas C Paron | 2112510 | 1 | 03/04/2003 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Charles James Wetzel | 1934341 | 1 | 02/27/2003 | Customer Dispute | Settled | $5,500.00 | $0.00 | See FINRA Report |