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 |
|---|---|---|---|---|---|---|---|---|
| John George Kallis | 4366410 | 2 | 11/16/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Franklin Jeffrey McElroy | 2237589 | 7 | 11/06/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patrick Stephen Williams | 1217117 | 1 | 10/24/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gerald Russell Wolsfelt | 4699014 | 1 | 10/24/2018 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Matthew David Raves | 5615774 | 8 | 10/10/2018 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |
| Chad Alan Keim | 2516391 | 6 | 09/24/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher P Ferrara | 4036895 | 2 | 09/22/2018 | Customer Dispute | Settled | $90,208.30 | $0.00 | See FINRA Report |
| Joseph William Moyer | 1020245 | 8 | 09/13/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Dewayne Brown | 2002008 | 2 | 08/07/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Walter Roland Valenzuela | 2280224 | 16 | 07/23/2018 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |