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 |
|---|---|---|---|---|---|---|---|---|
| Cristina Briboneria | 4961280 | 2 | 09/08/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Van Constantine Pappas | 4330560 | 1 | 09/08/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William J Thompson | 4753071 | 2 | 09/08/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eric Donato Pucciarelli | 5130128 | 2 | 09/08/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kile Eugene Lewis | 2606798 | 2 | 09/08/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kristi Ann Nash | 2634814 | 3 | 09/03/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ayelet Bisson | 4732322 | 2 | 08/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Thomas MacGowan | 2306406 | 3 | 08/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Thomas MacGowan | 2306406 | 3 | 08/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Thomas MacGowan | 2306406 | 3 | 08/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |