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 |
|---|---|---|---|---|---|---|---|---|
| Robert Mason Bartenstein | 2503260 | 1 | 07/30/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anthony Joseph Landi | 2865410 | 3 | 06/30/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Keith Andrew Borgfeldt | 2192171 | 2 | 05/08/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles L Palmer | 4783503 | 2 | 05/05/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rocio Morales Derodriguez | 2516878 | 2 | 04/01/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Kenneth Vigil | 2999210 | 1 | 04/19/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Michael Dolan | 1603214 | 2 | 02/21/2007 | Customer Dispute | Settled | $62,250.00 | $0.00 | See FINRA Report |
| Gregory Ervin Kibler | 1781409 | 2 | 01/19/2007 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Ronald Bernard Wiser | 470549 | 6 | 07/03/2006 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Randall Nelson Smith | 1042283 | 4 | 10/19/2005 | Customer Dispute | Settled | $5,145,860.00 | $0.00 | See FINRA Report |