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 |
|---|---|---|---|---|---|---|---|---|
| Scott Eric Tobe | 4264479 | 1 | 06/29/2017 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Angelo Edward Roman | 1989113 | 2 | 08/28/2013 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Scott Bennett Sade | 1069305 | 5 | 03/09/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Paul Scott Nadell | 2223610 | 1 | 02/24/2009 | Customer Dispute | Withdrawn | $9,960.00 | $0.00 | See FINRA Report |
| Glen Arthur Turner | 2503850 | 5 | 04/17/2002 | Customer Dispute | Withdrawn | $900,000.00 | $0.00 | See FINRA Report |