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 |
|---|---|---|---|---|---|---|---|---|
| Jody Gail Zirn | 2634404 | 2 | 12/20/2002 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Kevin G Thompson | 2614746 | 1 | 11/25/2002 | Customer Dispute | Settled | $170,000.00 | $0.00 | See FINRA Report |
| Gregory F Lamp | 720921 | 1 | 11/06/2002 | Customer Dispute | Settled | $1,250,000.00 | $0.00 | See FINRA Report |
| Brian David Siano | 2813361 | 1 | 10/14/2002 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Rainey Steven Rogers | 1839823 | 3 | 09/16/2002 | Customer Dispute | Settled | $1,100,000.00 | $0.00 | See FINRA Report |
| Randall Nelson Smith | 1042283 | 4 | 08/19/2002 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| B Frank Voigt | 1710649 | 2 | 08/19/2002 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Kittredge Lee Griffin | 1144522 | 1 | 08/09/2002 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Brian Patrick Kinney | 1240165 | 1 | 04/19/2002 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Christopher James Rouse | 2668405 | 2 | 01/16/2002 | Customer Dispute | Settled | $13,458.30 | $0.00 | See FINRA Report |