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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Kyle Knox | 4430828 | 3 | 01/05/2005 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Ronald Bernard Wiser | 470549 | 6 | 11/30/2004 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Thomas Earl Miller | 1639180 | 1 | 11/23/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tom Howard Cates | 1341624 | 1 | 11/03/2004 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| David Michael Combs | 2738188 | 4 | 11/02/2004 | Customer Dispute | Pending | $70,289.40 | $0.00 | See FINRA Report |
| David Marc Mizrahi | 704712 | 5 | 09/24/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Randall Nelson Smith | 1042283 | 4 | 08/23/2004 | Customer Dispute | Settled | $5,145,860.00 | $0.00 | See FINRA Report |
| Todd Mitman | 4288569 | 1 | 07/29/2004 | Customer Dispute | Denied | $7,167.00 | $0.00 | See FINRA Report |
| Mark Ray Small | 4494575 | 2 | 06/30/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Altair Miro Gobo | 1081870 | 3 | 06/17/2004 | Customer Dispute | Denied | $90,000.00 | $0.00 | See FINRA Report |