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 Stafford Morrison | 1254375 | 1 | 12/15/2022 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Jon David Goldstein | 2462505 | 1 | 10/16/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jon Christopher Vinge | 4445831 | 3 | 09/27/2022 | Customer Dispute | Settled | $183,000.00 | $0.00 | See FINRA Report |
| Jose R Vidueira | 2307554 | 1 | 09/16/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Benjamin William Belanger | 5293459 | 4 | 09/15/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Javier Agustin Trevino | 6404236 | 1 | 09/08/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Karen Shaw Cunningham | 1134960 | 3 | 08/01/2022 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Joseph Patrick Quinn | 843708 | 1 | 07/27/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jon Christopher Vinge | 4445831 | 3 | 06/28/2022 | Customer Dispute | Withdrawn | $373,000.00 | $0.00 | See FINRA Report |
| Roberto Epigmenio Guzman | 4790113 | 1 | 06/16/2022 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |