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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Scott Hamilton | 5770357 | 1 | 10/15/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Larry David Slabotsky | 1294883 | 4 | 10/10/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Francis Wiercinski | 5442335 | 1 | 10/07/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Keith Sebastian | 1484490 | 2 | 10/02/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Martin Ervolina | 4424954 | 1 | 09/16/2019 | Customer Dispute | Settled | $36,003.90 | $0.00 | See FINRA Report |
| Tf McCall Jenkins | 5298129 | 1 | 08/21/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark David Yadron | 1520648 | 8 | 08/12/2019 | Customer Dispute | Denied | $129,584.00 | $0.00 | See FINRA Report |
| Joseph William Moyer | 1020245 | 8 | 08/08/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Donald Gregory Baker | 2369255 | 1 | 07/24/2019 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| David Aaron Bleznak | 2293696 | 6 | 07/19/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |