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 |
|---|---|---|---|---|---|---|---|---|
| Adrian L Johnson | 6285024 | 3 | 01/25/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Deborah Julie Trouw | 5282284 | 2 | 01/17/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Earl Archambault | 1240039 | 5 | 12/28/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Adrian L Johnson | 6285024 | 3 | 12/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nathan Donald Sealey | 2997307 | 6 | 12/23/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jody Gail Zirn | 2634404 | 2 | 12/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Horace Davis | 62193 | 2 | 12/16/2015 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Aaron Bleznak | 2293696 | 6 | 11/19/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Gary Gustafson | 2409230 | 9 | 11/18/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Needa Hazin | 4495452 | 1 | 10/29/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |