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 |
|---|---|---|---|---|---|---|---|---|
| Robert Ray Bennie | 2560709 | 7 | 08/01/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Judy Ann Boston | 4853793 | 1 | 07/05/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Everett Rose | 404099 | 1 | 06/09/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ellis Y Miller | 3117992 | 1 | 05/26/2016 | Customer Dispute | Denied | $7,720.00 | $0.00 | See FINRA Report |
| Franklin Jeffrey McElroy | 2237589 | 7 | 05/16/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jonathan Edward Teal | 4695831 | 1 | 05/03/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Gary Gustafson | 2409230 | 9 | 04/25/2016 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| James Walter Beltz | 3195870 | 1 | 02/08/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Gary Gustafson | 2409230 | 9 | 02/04/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cindy Elaine Fowler | 2867288 | 1 | 01/26/2016 | Customer Dispute | Settled | $8,055.00 | $0.00 | See FINRA Report |