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 |
|---|---|---|---|---|---|---|---|---|
| Marc Vincent Fragola | 1751871 | 1 | 06/10/2022 | Customer Dispute | Settled | $46,000.00 | $0.00 | See FINRA Report |
| Julie Ann Nored | 5225326 | 1 | 06/07/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Phillip Hill | 2208115 | 1 | 05/31/2022 | Customer Dispute | Denied | $325,000.00 | $0.00 | See FINRA Report |
| Lisa M Turner | 4382665 | 1 | 05/20/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Douglas Carlson | 5584185 | 2 | 05/03/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cristina Briboneria | 4961280 | 2 | 04/12/2022 | Customer Dispute | Pending | $28,500.00 | $0.00 | See FINRA Report |
| Anthony J Seifert | 6514406 | 2 | 03/23/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Clemens Duncombe | 4574450 | 2 | 02/25/2022 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Anthony J Seifert | 6514406 | 2 | 02/22/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nathan Donald Sealey | 2997307 | 6 | 02/18/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |