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 |
|---|---|---|---|---|---|---|---|---|
| Ross S Layton | 4465321 | 2 | 01/30/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Marcus John Hernandez | 4902687 | 1 | 01/08/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Earl Archambault | 1240039 | 5 | 12/31/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Edward Obrien | 4292918 | 1 | 12/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elwis Johnson | 6356996 | 5 | 12/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elwis Johnson | 6356996 | 5 | 12/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elwis Johnson | 6356996 | 5 | 12/18/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elwis Johnson | 6356996 | 5 | 12/18/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Sindrich | 1097529 | 2 | 11/29/2018 | Customer Dispute | Settled | $218,956.00 | $0.00 | See FINRA Report |
| Carrie Dawn Cocanour | 3164962 | 1 | 11/20/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |