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 |
|---|---|---|---|---|---|---|---|---|
| Morris Nathan Symson | 441596 | 3 | 08/11/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joshua Mason Lavigueure | 7433179 | 2 | 08/09/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Ray Bennie | 2560709 | 7 | 07/08/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Kent Harris | 2357959 | 1 | 06/01/2011 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Ronald Bernard Wiser | 470549 | 6 | 05/23/2011 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Walter Roland Valenzuela | 2280224 | 16 | 05/11/2011 | Customer Dispute | Closed-No Action | $133,378.00 | $0.00 | See FINRA Report |
| Mitchell Brian Walk | 3195375 | 6 | 05/04/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kevin Douglass Ellman | 2116368 | 4 | 04/25/2011 | Customer Dispute | Settled | $135,000.00 | $0.00 | See FINRA Report |
| Steven J Cochlan | 1073586 | 2 | 04/01/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dustin Joe Lee Engle | 7307443 | 1 | 03/20/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |