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 |
|---|---|---|---|---|---|---|---|---|
| Timothy Joseph Engelbert | 1425354 | 1 | 11/25/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Diego Alejandro Velasquez | 4336308 | 4 | 10/27/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wilson Frederick Rosebraugh | 3183055 | 1 | 10/17/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristi Ann Nash | 2634814 | 3 | 10/13/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Gary Gustafson | 2409230 | 9 | 09/17/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Clemens Duncombe | 4574450 | 2 | 09/03/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Casey Justin Fry | 5158152 | 1 | 08/07/2014 | Customer Dispute | Denied | $7,486.43 | $0.00 | See FINRA Report |
| Girish Prakash Navare | 5901641 | 2 | 07/11/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Elad Gad Goren | 3188161 | 1 | 07/08/2014 | Customer Dispute | Settled | $1,215,330.00 | $0.00 | See FINRA Report |
| John Gary Gustafson | 2409230 | 9 | 05/30/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |