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 |
|---|---|---|---|---|---|---|---|---|
| Mark David Yadron | 1520648 | 8 | 10/09/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Walter Roland Valenzuela | 2280224 | 16 | 09/18/2020 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Walter Roland Valenzuela | 2280224 | 16 | 09/17/2020 | Customer Dispute | Settled | $104,000.00 | $0.00 | See FINRA Report |
| Walter Roland Valenzuela | 2280224 | 16 | 06/22/2020 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Athishay Gangadharan | 5531128 | 2 | 06/03/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Walter Roland Valenzuela | 2280224 | 16 | 05/29/2020 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Donald Grant | 4505447 | 1 | 04/01/2020 | Customer Dispute | Settled | $93,000.00 | $0.00 | See FINRA Report |
| Elwis Johnson | 6356996 | 5 | 02/24/2020 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| Joseph Martin Ervolina | 4424954 | 1 | 09/16/2019 | Customer Dispute | Settled | $36,003.90 | $0.00 | See FINRA Report |
| Gregory Eugene Bennington | 2663629 | 1 | 05/03/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |