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 |
|---|---|---|---|---|---|---|---|---|
| Karen Shaw Cunningham | 1134960 | 3 | 02/13/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Todd Kent Hamerlinck | 1712712 | 1 | 02/01/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric Karl Rosenberger | 4636157 | 1 | 01/12/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Patricia Ann Triboletti | 2455884 | 1 | 01/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jay Hale Cavanagh | 2159026 | 1 | 01/03/2018 | Customer Dispute | Denied | $185,819.00 | $0.00 | See FINRA Report |
| Jeremy Nathan Swank | 3168639 | 3 | 12/29/2017 | Customer Dispute | Denied | $34,000.00 | $0.00 | See FINRA Report |
| David Aaron Bleznak | 2293696 | 6 | 12/27/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeremy Don Wood | 5997603 | 1 | 12/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Robert Paz | 7302073 | 1 | 12/07/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Earl McCarter | 4856079 | 4 | 12/06/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |