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 |
|---|---|---|---|---|---|---|---|---|
| Michael Ronald Moleski | 2876091 | 1 | 12/19/2012 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Joseph Burton Hall | 4744031 | 2 | 12/06/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bernard Gerard van Eperen | 4521174 | 2 | 11/08/2012 | Customer Dispute | Denied | $109,520.00 | $0.00 | See FINRA Report |
| Brent Franklin Arnold | 5216992 | 1 | 09/24/2012 | Customer Dispute | Closed-No Action | $7,823.00 | $0.00 | See FINRA Report |
| Richard Earl McCarter | 4856079 | 4 | 08/01/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Zachary Heifetz | 2025743 | 1 | 07/19/2012 | Customer Dispute | Closed-No Action | $11,000.00 | $0.00 | See FINRA Report |
| Bernard Gerard van Eperen | 4521174 | 2 | 07/19/2012 | Customer Dispute | Denied | $57,969.20 | $0.00 | See FINRA Report |
| Stephen Patrick Fahy | 3060084 | 4 | 07/16/2012 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Martin Lynn Ferguson | 2976854 | 1 | 06/29/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ted Delaney Snow | 1650430 | 1 | 02/27/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |