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 |
|---|---|---|---|---|---|---|---|---|
| Walter Roland Valenzuela | 2280224 | 16 | 08/24/2017 | Customer Dispute | Settled | $9,500,000.00 | $0.00 | See FINRA Report |
| Justin Walt Parker | 4364398 | 4 | 08/24/2017 | Customer Dispute | Settled | $9,500,000.00 | $0.00 | See FINRA Report |
| Mitchell Brian Walk | 3195375 | 6 | 08/14/2017 | Customer Dispute | Settled | $72,000.00 | $0.00 | See FINRA Report |
| Herbert Carl Smith | 427804 | 1 | 05/31/2017 | Customer Dispute | Settled | $2,097,930.00 | $0.00 | See FINRA Report |
| Jeremiah Charles Lorenz | 4185702 | 1 | 02/24/2017 | Customer Dispute | Settled | $2,500.00 | $0.00 | See FINRA Report |
| Mark David Yadron | 1520648 | 8 | 02/03/2017 | Customer Dispute | Settled | $5,095.35 | $0.00 | See FINRA Report |
| Mark David Yadron | 1520648 | 8 | 12/13/2016 | Customer Dispute | Settled | $8,983.26 | $0.00 | See FINRA Report |
| Mitchell Brian Walk | 3195375 | 6 | 10/04/2016 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Robert Ray Bennie | 2560709 | 7 | 08/01/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Cindy Elaine Fowler | 2867288 | 1 | 01/26/2016 | Customer Dispute | Settled | $8,055.00 | $0.00 | See FINRA Report |