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 |
|---|---|---|---|---|---|---|---|---|
| James Thomas McManus | 2420277 | 2 | 11/01/2010 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Robert Iola | 2103831 | 3 | 09/30/2010 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Ronald E Mortellaro | 1897734 | 1 | 09/28/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kevin John McPhee | 2316848 | 6 | 09/27/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Louis Dropkin | 4231224 | 4 | 09/14/2010 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Al F Devji | 2309006 | 2 | 08/23/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Benjamin William Belanger | 5293459 | 4 | 08/17/2010 | Customer Dispute | Denied | $83,500.00 | $0.00 | See FINRA Report |
| Jeffrey Michael Zufall | 2569529 | 2 | 07/12/2010 | Customer Dispute | Denied | $30,029.50 | $0.00 | See FINRA Report |
| Diego Alejandro Velasquez | 4336308 | 4 | 07/09/2010 | Customer Dispute | Award / Judgment | $25,000.00 | $25,000.00 | See FINRA Report |
| Stephen Anthony Engro | 1456472 | 2 | 07/07/2010 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |