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 |
|---|---|---|---|---|---|---|---|---|
| Ricardo Mark Montejano | 1275284 | 1 | 09/06/2002 | Customer Dispute | Closed-No Action | $641,000.00 | $0.00 | See FINRA Report |
| Miriam Lopez | 2394793 | 1 | 08/21/2002 | Customer Dispute | Denied | $140,000.00 | $0.00 | See FINRA Report |
| Randall Nelson Smith | 1042283 | 4 | 08/19/2002 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| B Frank Voigt | 1710649 | 2 | 08/19/2002 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Kittredge Lee Griffin | 1144522 | 1 | 08/09/2002 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Larry Ronald Blair | 849940 | 1 | 08/08/2002 | Customer Dispute | Denied | $56,505.00 | $0.00 | See FINRA Report |
| Glen Arthur Turner | 2503850 | 5 | 07/19/2002 | Customer Dispute | Denied | $373,000.00 | $0.00 | See FINRA Report |
| Christopher P Ferrara | 4036895 | 2 | 06/24/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Paul Hoover | 1792448 | 1 | 06/12/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Cutler Arnold | 1178562 | 4 | 05/16/2002 | Customer Dispute | Pending | $199,700.00 | $0.00 | See FINRA Report |