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 Horace Davis | 62193 | 2 | 01/29/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeremy Nathan Swank | 3168639 | 3 | 01/20/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kimberley Ann Holcomb | 2721730 | 1 | 11/05/2009 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Scott Bennett Sade | 1069305 | 5 | 10/27/2009 | Customer Dispute | Settled | $976,000.00 | $0.00 | See FINRA Report |
| Diego Alejandro Velasquez | 4336308 | 4 | 10/27/2009 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Gregory White Anderson | 2722390 | 1 | 10/19/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Alan Schertel | 5307365 | 1 | 09/21/2009 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Scott Martin Lomes | 1395977 | 2 | 09/02/2009 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Steven J Cochlan | 1073586 | 2 | 08/20/2009 | Customer Dispute | Denied | $227,059.00 | $0.00 | See FINRA Report |
| Pamela Marie Vanone | 4605823 | 1 | 07/28/2009 | Customer Dispute | Denied | $5,348.02 | $0.00 | See FINRA Report |