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 |
|---|---|---|---|---|---|---|---|---|
| Mark Clarence Becker | 2558944 | 1 | 02/28/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas William Ostrosky | 2181276 | 3 | 02/21/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Walter Roland Valenzuela | 2280224 | 16 | 02/15/2013 | Customer Dispute | Settled | $59,931.00 | $0.00 | See FINRA Report |
| Scott Bennett Sade | 1069305 | 5 | 02/11/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas William Ostrosky | 2181276 | 3 | 02/08/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ayelet Bisson | 4732322 | 2 | 01/24/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Keith Alan Moore | 2868148 | 2 | 01/08/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert L Bush | 36955 | 4 | 12/31/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Iola | 2103831 | 3 | 12/31/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Alan Moore | 2868148 | 2 | 12/26/2012 | Customer Dispute | Settled | $5,295.60 | $0.00 | See FINRA Report |