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 |
|---|---|---|---|---|---|---|---|---|
| Thomas J Biadas | 1523005 | 2 | 02/24/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Joseph Schnall | 1587999 | 3 | 02/22/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Stephen Cutler Arnold | 1178562 | 4 | 02/03/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Burton Hall | 4744031 | 2 | 11/17/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Ray Bennie | 2560709 | 7 | 11/09/2005 | Customer Dispute | Denied | $46,758.00 | $0.00 | See FINRA Report |
| Dyanne Michelle Ross-Hanson | 1017504 | 2 | 11/07/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Randall Nelson Smith | 1042283 | 4 | 10/19/2005 | Customer Dispute | Settled | $5,145,860.00 | $0.00 | See FINRA Report |
| Kevin Douglass Ellman | 2116368 | 4 | 10/07/2005 | Customer Dispute | Denied | $100,347.00 | $0.00 | See FINRA Report |
| Chad Alan Keim | 2516391 | 6 | 10/03/2005 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Elizabeth Jane Blanchard | 2474798 | 1 | 08/15/2005 | Customer Dispute | Closed-No Action | $7,560.00 | $0.00 | See FINRA Report |