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 |
|---|---|---|---|---|---|---|---|---|
| Eric Walter Hilgenberg | 4297433 | 1 | 07/21/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Joseph Schnall | 1587999 | 3 | 07/01/2009 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| David Aaron Bleznak | 2293696 | 6 | 05/29/2009 | Customer Dispute | Denied | $43,354.00 | $0.00 | See FINRA Report |
| Joseph William Moyer | 1020245 | 8 | 05/29/2009 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Dee N Buckminster | 4230591 | 1 | 05/27/2009 | Customer Dispute | Denied | $11,125.00 | $0.00 | See FINRA Report |
| Taylor Keith Ranker | 1954114 | 1 | 04/30/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brent Allen Firestone | 2554329 | 1 | 04/30/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Keith Sebastian | 1484490 | 2 | 04/29/2009 | Customer Dispute | Closed-No Action | $500,000.00 | $0.00 | See FINRA Report |
| Andrew Louis Dropkin | 4231224 | 4 | 04/20/2009 | Customer Dispute | Denied | $225,000.00 | $0.00 | See FINRA Report |
| David Eaton Rathgeb | 4443906 | 1 | 04/13/2009 | Customer Dispute | Denied | $35,691.90 | $0.00 | See FINRA Report |