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 |
|---|---|---|---|---|---|---|---|---|
| Michael Richard Hyser | 2322261 | 3 | 02/13/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Bernard Wiser | 470549 | 6 | 02/07/2003 | Customer Dispute | Denied | $684,238.00 | $0.00 | See FINRA Report |
| Jody Gail Zirn | 2634404 | 2 | 12/20/2002 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Kevin G Thompson | 2614746 | 1 | 11/25/2002 | Customer Dispute | Settled | $170,000.00 | $0.00 | See FINRA Report |
| Gregory F Lamp | 720921 | 1 | 11/06/2002 | Customer Dispute | Settled | $1,250,000.00 | $0.00 | See FINRA Report |
| Robert Michael Olson | 3179940 | 3 | 10/17/2002 | Customer Dispute | Denied | $17,605.10 | $0.00 | See FINRA Report |
| Kenneth Dewayne Brown | 2002008 | 2 | 10/17/2002 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian David Siano | 2813361 | 1 | 10/14/2002 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Bruce Emery Carlson | 1043071 | 1 | 10/08/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rainey Steven Rogers | 1839823 | 3 | 09/16/2002 | Customer Dispute | Settled | $1,100,000.00 | $0.00 | See FINRA Report |