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 |
|---|---|---|---|---|---|---|---|---|
| David Lynn Coonrod | 2845523 | 1 | 07/25/2023 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Nathan Donald Sealey | 2997307 | 6 | 06/27/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jonathan Allen Shimer | 2938700 | 1 | 06/05/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Gary Gustafson | 2409230 | 9 | 05/03/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Richard Hyser | 2322261 | 3 | 04/28/2023 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Mark David Yadron | 1520648 | 8 | 04/12/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jon Christopher Vinge | 4445831 | 3 | 03/01/2023 | Customer Dispute | Pending | $701,211.00 | $0.00 | See FINRA Report |
| David Overton Carlock | 5040696 | 1 | 02/01/2023 | Customer Dispute | Denied | $26,073.60 | $0.00 | See FINRA Report |
| Pamela Sue Espinosa | 5865661 | 2 | 01/25/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| August David Consiglio | 1516553 | 1 | 01/03/2023 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |