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 |
|---|---|---|---|---|---|---|---|---|
| Wesley Graham Lentz | 3111134 | 1 | 03/14/2011 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kenneth Dale Anderson | 1455489 | 1 | 03/01/2011 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |
| Walter Roland Valenzuela | 2280224 | 16 | 02/14/2011 | Customer Dispute | Closed-No Action | $17,500.00 | $0.00 | See FINRA Report |
| Stephen Patrick Fahy | 3060084 | 4 | 01/19/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Michael Zufall | 2569529 | 2 | 01/12/2011 | Customer Dispute | Denied | $477,257.00 | $0.00 | See FINRA Report |
| John Thomas Keeney | 1514167 | 1 | 12/13/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gerald Lyman Ursrey | 2554203 | 3 | 12/02/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth George Trinklein | 2926046 | 1 | 11/30/2010 | Customer Dispute | Settled | $11,357.00 | $0.00 | See FINRA Report |
| James Thomas McManus | 2420277 | 2 | 11/05/2010 | Customer Dispute | Award / Judgment | $0.00 | $1,308,750.00 | See FINRA Report |
| Robert Ray Bennie | 2560709 | 7 | 11/02/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |