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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Patrick Fahy | 3060084 | 4 | 01/13/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard David Swanson | 1382295 | 1 | 11/10/2011 | Customer Dispute | Settled | $6,500.00 | $0.00 | See FINRA Report |
| Shawn Takao Okumura | 2855509 | 1 | 11/07/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David I Bunin | 4262781 | 2 | 11/04/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jodie Michelle Booth | 4702192 | 1 | 11/03/2011 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Rebecca Lynn Hartnett | 3229681 | 1 | 10/04/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jonathan William Lonske | 2594921 | 4 | 09/23/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Deborah Julie Trouw | 5282284 | 2 | 09/12/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Whittington Davis | 2137957 | 2 | 09/02/2011 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Jeremy Nathan Swank | 3168639 | 3 | 08/18/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |