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 |
|---|---|---|---|---|---|---|---|---|
| Mark Andrew Mayer | 4183123 | 1 | 01/27/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin John McPhee | 2316848 | 6 | 01/21/2009 | Customer Dispute | Closed-No Action | $16,088.00 | $0.00 | See FINRA Report |
| Edward Paul Oxford | 4668474 | 1 | 01/15/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Matthew Philip Douglas | 4835729 | 1 | 01/14/2009 | Customer Dispute | Closed-No Action | $130,000.00 | $0.00 | See FINRA Report |
| Diego Alejandro Velasquez | 4336308 | 4 | 12/29/2008 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Gerald Roger Arndt | 2743364 | 1 | 11/25/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric Donato Pucciarelli | 5130128 | 2 | 11/24/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Jesse David Bayarena | 4129147 | 1 | 11/18/2008 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Robert Ray Bennie | 2560709 | 7 | 11/03/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| James Joseph Mahoney | 4460504 | 1 | 10/21/2008 | Customer Dispute | Settled | $15,772.20 | $0.00 | See FINRA Report |