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 |
|---|---|---|---|---|---|---|---|---|
| Garren J Decker | 1961005 | 1 | 01/21/2014 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Timothy Ross Armentor | 2342474 | 2 | 01/02/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Whittington Davis | 2137957 | 2 | 12/23/2013 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Todd E Eichman | 3224440 | 1 | 11/08/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher James Bradshaw | 2929353 | 4 | 08/27/2013 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Mitchell Brian Walk | 3195375 | 6 | 07/31/2013 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Kathleen Fish | 1826151 | 1 | 06/24/2013 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Mitchell Brian Walk | 3195375 | 6 | 06/05/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Earl McCarter | 4856079 | 4 | 03/20/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Patrick Fahy | 3060084 | 4 | 03/13/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |