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 |
|---|---|---|---|---|---|---|---|---|
| Cory James McCune | 5701223 | 1 | 05/08/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Denise Lee Garten | 1715462 | 2 | 04/22/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Patrick Kinney | 1240165 | 1 | 04/19/2002 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Glen Arthur Turner | 2503850 | 5 | 04/17/2002 | Customer Dispute | Withdrawn | $900,000.00 | $0.00 | See FINRA Report |
| David Aaron Bleznak | 2293696 | 6 | 03/15/2002 | Customer Dispute | Closed-No Action | $13,846.00 | $0.00 | See FINRA Report |
| Christopher James Rouse | 2668405 | 2 | 01/16/2002 | Customer Dispute | Settled | $13,458.30 | $0.00 | See FINRA Report |
| Glen Arthur Turner | 2503850 | 5 | 01/15/2002 | Customer Dispute | Closed-No Action | $90,000.00 | $0.00 | See FINRA Report |
| Jason Colin Patrick | 5001982 | 1 | 11/07/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mary Johnston Bahe | 2419088 | 1 | 11/06/2001 | Customer Dispute | Settled | $5,657.00 | $0.00 | See FINRA Report |
| Joseph Erving Ryan | 2060510 | 1 | 11/02/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |