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 |
|---|---|---|---|---|---|---|---|---|
| David Joseph Schnall | 1587999 | 3 | 07/01/2009 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Joseph William Moyer | 1020245 | 8 | 05/29/2009 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Gerald Lyman Ursrey | 2554203 | 3 | 02/18/2009 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Glen Arthur Turner | 2503850 | 5 | 02/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin Michael Filosa | 1798768 | 3 | 02/09/2009 | Customer Dispute | Settled | $1,100,000.00 | $0.00 | See FINRA Report |
| Eric Donato Pucciarelli | 5130128 | 2 | 11/24/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Jesse David Bayarena | 4129147 | 1 | 11/18/2008 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| James Joseph Mahoney | 4460504 | 1 | 10/21/2008 | Customer Dispute | Settled | $15,772.20 | $0.00 | See FINRA Report |
| Anthony Joseph Landi | 2865410 | 3 | 09/04/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Walter Lamond Russell | 4192857 | 1 | 08/11/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |