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 |
|---|---|---|---|---|---|---|---|---|
| Mitchell Stanton Everett | 5765180 | 1 | 07/09/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Larry Dorame | 2284541 | 1 | 07/06/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Matthew Robert West | 2667878 | 1 | 06/18/2007 | Customer Dispute | Closed-No Action | $500,000.00 | $0.00 | See FINRA Report |
| David Michael Combs | 2738188 | 4 | 06/18/2007 | Customer Dispute | Closed-No Action | $500,000.00 | $0.00 | See FINRA Report |
| Paul Helmut Auslander | 1019443 | 1 | 05/09/2007 | Customer Dispute | Denied | $5,400.00 | $0.00 | See FINRA Report |
| Mark Kenneth Vigil | 2999210 | 1 | 04/19/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Wesley Derek Oglesby | 4444189 | 2 | 04/19/2007 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Mark Ray Small | 4494575 | 2 | 03/22/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Michael Dolan | 1603214 | 2 | 02/21/2007 | Customer Dispute | Settled | $62,250.00 | $0.00 | See FINRA Report |
| Gregory Ervin Kibler | 1781409 | 2 | 01/19/2007 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |