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 |
|---|---|---|---|---|---|---|---|---|
| Roger Laurence Dubuque | 2343213 | 1 | 06/17/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Philip Eric Johnson | 2975044 | 1 | 06/07/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gregory Ervin Kibler | 1781409 | 2 | 02/18/2004 | Customer Dispute | Denied | $10,717.20 | $0.00 | See FINRA Report |
| Robert Michael Olson | 3179940 | 3 | 02/06/2004 | Customer Dispute | Denied | $15,762.30 | $0.00 | See FINRA Report |
| John David Ross | 2633125 | 1 | 02/03/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ronald Harris McNeese | 2636676 | 1 | 02/02/2004 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| James Lance Weimar | 1244693 | 1 | 12/23/2003 | Customer Dispute | Pending | $12,000.00 | $0.00 | See FINRA Report |
| Michael Richard Hyser | 2322261 | 3 | 10/23/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Sack | 602561 | 2 | 07/28/2003 | Customer Dispute | Settled | $425,000.00 | $0.00 | See FINRA Report |
| Billy Lynn Clark | 2142590 | 1 | 07/15/2003 | Customer Dispute | Denied | $143,100.00 | $0.00 | See FINRA Report |