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 |
|---|---|---|---|---|---|---|---|---|
| Franklin Jeffrey McElroy | 2237589 | 7 | 02/23/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Franklin Jeffrey McElroy | 2237589 | 7 | 02/23/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Louis Hoch | 2844875 | 1 | 02/13/2015 | Customer Dispute | Settled | $27,451.50 | $0.00 | See FINRA Report |
| Jack Charles West | 1735378 | 5 | 01/30/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeremy Joe Walker | 5527474 | 2 | 01/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Gary Gustafson | 2409230 | 9 | 01/15/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeremy Joe Walker | 5527474 | 2 | 01/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey A Shelton | 2093860 | 1 | 01/13/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kristi Ann Nash | 2634814 | 3 | 01/06/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Joseph Acheson | 4184314 | 1 | 12/18/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |