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 |
|---|---|---|---|---|---|---|---|---|
| Martin James Grattan | 2307626 | 2 | 01/11/2017 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Allison Clancy Hudson | 4755966 | 2 | 12/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Allison Clancy Hudson | 4755966 | 2 | 12/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark David Yadron | 1520648 | 8 | 12/13/2016 | Customer Dispute | Settled | $8,983.26 | $0.00 | See FINRA Report |
| Sonya Louise Westfield | 6845156 | 1 | 10/14/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Gary Gustafson | 2409230 | 9 | 10/07/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mitchell Brian Walk | 3195375 | 6 | 10/04/2016 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Julie-Anne Lewis | 4311609 | 1 | 09/01/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Vincent Paul Sturm | 3128214 | 2 | 08/26/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Vincent Paul Sturm | 3128214 | 2 | 08/15/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |