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 |
|---|---|---|---|---|---|---|---|---|
| Joshua Floyd Black | 4280729 | 1 | 06/16/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Louis Dropkin | 4231224 | 4 | 06/14/2010 | Customer Dispute | Denied | $6,716.32 | $0.00 | See FINRA Report |
| Kevin John McPhee | 2316848 | 6 | 05/24/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Randall Alan Fisher | 3229906 | 1 | 04/20/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew David Heinz | 4826258 | 1 | 04/19/2010 | Customer Dispute | Settled | $310,000.00 | $0.00 | See FINRA Report |
| B Frank Voigt | 1710649 | 2 | 03/15/2010 | Customer Dispute | Denied | $12,150.00 | $0.00 | See FINRA Report |
| Robert Michael Olson | 3179940 | 3 | 03/01/2010 | Customer Dispute | Denied | $21,993.30 | $0.00 | See FINRA Report |
| Dennis William Laughlin | 1230817 | 2 | 02/02/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian William Laughlin | 2621524 | 1 | 02/02/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eugene Brendan McCarthy | 3060295 | 1 | 02/02/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |