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 |
|---|---|---|---|---|---|---|---|---|
| Mary Kathryn Duke | 2881819 | 5 | 07/12/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Eric Tobe | 4264479 | 1 | 06/29/2017 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Herbert Carl Smith | 427804 | 1 | 05/31/2017 | Customer Dispute | Settled | $2,097,930.00 | $0.00 | See FINRA Report |
| Christopher Michael Heilman | 5191836 | 1 | 05/22/2017 | Customer Dispute | Denied | $7,325.00 | $0.00 | See FINRA Report |
| Kevin James Bates | 1041009 | 1 | 04/13/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeremiah Charles Lorenz | 4185702 | 1 | 02/24/2017 | Customer Dispute | Settled | $2,500.00 | $0.00 | See FINRA Report |
| Larry David Slabotsky | 1294883 | 4 | 02/24/2017 | Customer Dispute | Denied | $11,930.00 | $0.00 | See FINRA Report |
| Robert Thomas Armstrong | 1269827 | 3 | 02/22/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Chad Alan Keim | 2516391 | 6 | 02/13/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark David Yadron | 1520648 | 8 | 02/03/2017 | Customer Dispute | Settled | $5,095.35 | $0.00 | See FINRA Report |