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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Francis Shumosic | 1913737 | 1 | 05/30/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alexander Michael Panas | 2249803 | 1 | 05/28/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rocio Morales Derodriguez | 2516878 | 2 | 05/16/2019 | Customer Dispute | Closed-No Action | $7,000.00 | $0.00 | See FINRA Report |
| Gregory Eugene Bennington | 2663629 | 1 | 05/03/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Mark Franklin Bailey | 1384557 | 1 | 05/01/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Denis Patrick O'Leary | 2179225 | 1 | 04/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Alan Matney | 2485645 | 3 | 03/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Aaron Bleznak | 2293696 | 6 | 03/26/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Alan Matney | 2485645 | 3 | 02/25/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ross S Layton | 4465321 | 2 | 01/30/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |