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 |
|---|---|---|---|---|---|---|---|---|
| Walter Newton Allen | 1267425 | 1 | 07/21/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Roberto Epigmenio Guzman | 4790113 | 1 | 06/16/2022 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |
| Denise Simone Sobczak | 3078128 | 4 | 06/15/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marc Vincent Fragola | 1751871 | 1 | 06/10/2022 | Customer Dispute | Pending | $46,000.00 | $0.00 | See FINRA Report |
| Frank Phillip Hill | 2208115 | 1 | 05/31/2022 | Customer Dispute | Pending | $325,000.00 | $0.00 | See FINRA Report |
| Lisa M Turner | 4382665 | 1 | 05/20/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lee Thomas Penland | 864806 | 3 | 05/10/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Douglas Carlson | 5584185 | 2 | 05/03/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cristina Briboneria | 4961280 | 2 | 04/12/2022 | Customer Dispute | Pending | $28,500.00 | $0.00 | See FINRA Report |
| Anthony J Seifert | 6514406 | 2 | 03/23/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |