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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Richard Delaney | 2222130 | 1 | 05/19/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Michael Filosa | 1798768 | 3 | 05/15/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Franklin Jeffrey McElroy | 2237589 | 7 | 05/01/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Gary Gustafson | 2409230 | 9 | 03/26/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Craig Louis Martucci | 3056333 | 1 | 03/25/2014 | Customer Dispute | Denied | $133,769.00 | $0.00 | See FINRA Report |
| Richard Earl McCarter | 4856079 | 4 | 03/11/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Chad Alan Keim | 2516391 | 6 | 02/27/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Chad Alan Keim | 2516391 | 6 | 02/27/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rainey Steven Rogers | 1839823 | 3 | 02/27/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas William Ostrosky | 2181276 | 3 | 01/28/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |