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 |
|---|---|---|---|---|---|---|---|---|
| Charles L Palmer | 4783503 | 2 | 05/05/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anthony Joseph Landi | 2865410 | 3 | 04/21/2008 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Hance Stanley Evans | 1073412 | 1 | 04/08/2008 | Customer Dispute | Denied | $173,682.00 | $0.00 | See FINRA Report |
| Clifford Louis Giles | 1314230 | 2 | 04/04/2008 | Customer Dispute | Denied | $24,000.00 | $0.00 | See FINRA Report |
| John Pomeroy | 3154217 | 1 | 04/01/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rocio Morales Derodriguez | 2516878 | 2 | 04/01/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christian Michael Hertl | 4914511 | 1 | 11/12/2007 | Customer Dispute | Closed-No Action | $9,725.00 | $0.00 | See FINRA Report |
| Ralph Antolino | 1007885 | 1 | 11/12/2007 | Customer Dispute | Closed-No Action | $9,725.00 | $0.00 | See FINRA Report |
| Michael Anthony Dinardo | 1292426 | 1 | 10/30/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Neil Henry Gendreau | 2381964 | 1 | 07/17/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |