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 |
|---|---|---|---|---|---|---|---|---|
| Dyanne Michelle Ross-Hanson | 1017504 | 2 | 08/12/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Randall Nelson Smith | 1042283 | 4 | 08/04/2005 | Customer Dispute | Settled | $5,145,860.00 | $0.00 | See FINRA Report |
| Robert Ray Bennie | 2560709 | 7 | 08/03/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Ray Bennie | 2560709 | 7 | 08/03/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Michael Hill | 2699250 | 2 | 07/22/2005 | Customer Dispute | Closed-No Action | $19,934.10 | $0.00 | See FINRA Report |
| Altair Miro Gobo | 1081870 | 3 | 07/14/2005 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Robert L Bush | 36955 | 4 | 07/13/2005 | Customer Dispute | Settled | $100,626.00 | $0.00 | See FINRA Report |
| James Michael Hill | 2699250 | 2 | 07/06/2005 | Customer Dispute | Settled | $6,744.43 | $0.00 | See FINRA Report |
| William Dax Symonds | 2809944 | 1 | 07/05/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Thomas Armstrong | 1269827 | 3 | 06/16/2005 | Customer Dispute | Denied | $86,033.20 | $0.00 | See FINRA Report |