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 |
|---|---|---|---|---|---|---|---|---|
| James Clemens Duncombe | 4574450 | 2 | 02/25/2022 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Anthony J Seifert | 6514406 | 2 | 02/22/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nathan Donald Sealey | 2997307 | 4 | 02/18/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Andrew Gelbman | 4533497 | 3 | 01/28/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nathan Donald Sealey | 2997307 | 4 | 01/25/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Franklin Jeffrey McElroy | 2237589 | 8 | 01/24/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Thomas Dalena | 2221347 | 14 | 11/30/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Denise Simone Sobczak | 3078128 | 4 | 11/15/2021 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Franklin Jeffrey McElroy | 2237589 | 8 | 07/20/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Lee Greer | 4185363 | 1 | 07/13/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |