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 |
|---|---|---|---|---|---|---|---|---|
| Mary Kathryn Duke | 2881819 | 5 | 04/22/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Ryan Shober | 4501238 | 1 | 04/15/2020 | Customer Dispute | Denied | $5,554.00 | $0.00 | See FINRA Report |
| Donald Grant | 4505447 | 1 | 04/01/2020 | Customer Dispute | Settled | $93,000.00 | $0.00 | See FINRA Report |
| Carolyn Lloyd-Turbett | 854161 | 1 | 03/20/2020 | Customer Dispute | Closed-No Action | $63,000.00 | $0.00 | See FINRA Report |
| Elwis Johnson | 6356996 | 5 | 02/24/2020 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| Jamie Charrise Eichwald | 5867522 | 2 | 12/17/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Walter Roland Valenzuela | 2280224 | 16 | 12/12/2019 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Theodore James Zouzounis | 477170 | 2 | 11/26/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bryan Charles Duffy | 1449366 | 1 | 11/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Andrew Borgfeldt | 2192171 | 2 | 10/31/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |