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 Earl Archambault | 1240039 | 5 | 08/10/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John George Kallis | 4366410 | 2 | 07/01/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Robert Gese | 2975861 | 1 | 06/29/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Walter Roland Valenzuela | 2280224 | 16 | 06/22/2020 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Kenneth Kyle Knox | 4430828 | 3 | 06/10/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Athishay Gangadharan | 5531128 | 2 | 06/03/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Walter Roland Valenzuela | 2280224 | 16 | 05/29/2020 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Jerry George Korchak | 1990284 | 1 | 05/21/2020 | Customer Dispute | Pending | $7,790,690.00 | $0.00 | See FINRA Report |
| Stephen Fergus Curry | 5207046 | 1 | 05/21/2020 | Customer Dispute | Pending | $7,790,690.00 | $0.00 | See FINRA Report |
| Mary Kathryn Duke | 2881819 | 5 | 04/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |