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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Anthony Engro | 1456472 | 2 | 12/27/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Diamond | 1129298 | 1 | 12/27/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph James Fishella | 2794864 | 1 | 10/24/2006 | Customer Dispute | Denied | $90,000.00 | $0.00 | See FINRA Report |
| Scott Bennett Sade | 1069305 | 5 | 09/12/2006 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Robert James Miller | 1260606 | 2 | 08/28/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert L Bush | 36955 | 4 | 08/16/2006 | Customer Dispute | Closed-No Action | $6,800.00 | $0.00 | See FINRA Report |
| Ronald Bernard Wiser | 470549 | 6 | 07/03/2006 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Ronald Bernard Wiser | 470549 | 6 | 05/24/2006 | Customer Dispute | Denied | $352,765.00 | $0.00 | See FINRA Report |
| Andrew F Williams | 2091611 | 2 | 04/10/2006 | Customer Dispute | Denied | $33,000.00 | $0.00 | See FINRA Report |
| Virginia Ann Hodge | 1776344 | 1 | 03/07/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |