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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Dale Anderson | 1455489 | 1 | 03/01/2011 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |
| Kenneth George Trinklein | 2926046 | 1 | 11/30/2010 | Customer Dispute | Settled | $11,357.00 | $0.00 | See FINRA Report |
| James Thomas McManus | 2420277 | 2 | 11/01/2010 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Andrew Louis Dropkin | 4231224 | 4 | 09/14/2010 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Matthew David Heinz | 4826258 | 1 | 04/19/2010 | Customer Dispute | Settled | $310,000.00 | $0.00 | See FINRA Report |
| James Horace Davis | 62193 | 2 | 01/29/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kimberley Ann Holcomb | 2721730 | 1 | 11/05/2009 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Scott Bennett Sade | 1069305 | 5 | 10/27/2009 | Customer Dispute | Settled | $976,000.00 | $0.00 | See FINRA Report |
| Diego Alejandro Velasquez | 4336308 | 4 | 10/27/2009 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Scott Martin Lomes | 1395977 | 2 | 09/02/2009 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |