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 |
|---|---|---|---|---|---|---|---|---|
| Mary Johnston Bahe | 2419088 | 1 | 11/06/2001 | Customer Dispute | Settled | $5,657.00 | $0.00 | See FINRA Report |
| Larry David Slabotsky | 1294883 | 4 | 09/28/2001 | Customer Dispute | Settled | $122,819.00 | $0.00 | See FINRA Report |
| Dennis William Laughlin | 1230817 | 2 | 07/23/2001 | Customer Dispute | Settled | $8,832.56 | $0.00 | See FINRA Report |
| Daniel Joseph Ferrara | 1908029 | 1 | 06/05/2001 | Customer Dispute | Settled | $140,206.00 | $0.00 | See FINRA Report |
| Robert Iola | 2103831 | 3 | 04/09/2001 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| David Michael Combs | 2738188 | 4 | 02/20/2001 | Customer Dispute | Settled | $81,974.90 | $0.00 | See FINRA Report |
| Ben Kronish | 1411327 | 1 | 02/01/2001 | Customer Dispute | Settled | $12,300.00 | $0.00 | See FINRA Report |
| Jack Charles West | 1735378 | 5 | 09/25/2000 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Denise Lee Garten | 1715462 | 2 | 09/22/2000 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Mark David Yadron | 1520648 | 8 | 06/17/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |