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 |
|---|---|---|---|---|---|---|---|---|
| James Paul Studinger | 2725496 | 1 | 02/20/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Michael Lance Phillips | 1283402 | 3 | 01/26/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Matthew David Raves | 5615774 | 8 | 01/12/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Walter Roland Valenzuela | 2280224 | 16 | 12/19/2023 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Charles L Palmer | 4783503 | 2 | 12/04/2023 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Nathan Donald Sealey | 2997307 | 6 | 11/02/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Thomas Armstrong | 1269827 | 3 | 10/31/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ashley W Caudle | 5005415 | 1 | 09/13/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth Kyle Knox | 4430828 | 3 | 09/13/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Girish Prakash Navare | 5901641 | 2 | 07/28/2023 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |