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 |
|---|---|---|---|---|---|---|---|---|
| Larry David Slabotsky | 1294883 | 4 | 09/28/2001 | Customer Dispute | Settled | $122,819.00 | $0.00 | See FINRA Report |
| Larry David Slabotsky | 1294883 | 4 | 09/05/2001 | Customer Dispute | Closed-No Action | $251,671.00 | $0.00 | See FINRA Report |
| Stephen Cutler Arnold | 1178562 | 4 | 08/23/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dennis William Laughlin | 1230817 | 2 | 07/23/2001 | Customer Dispute | Settled | $8,832.56 | $0.00 | See FINRA Report |
| Jeffrey Allen Breault | 1757281 | 1 | 06/28/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian C Duttera | 1663644 | 3 | 06/11/2001 | Customer Dispute | Denied | $114,700.00 | $0.00 | See FINRA Report |
| Daniel Joseph Ferrara | 1908029 | 1 | 06/05/2001 | Customer Dispute | Settled | $140,206.00 | $0.00 | See FINRA Report |
| Raymond Catipon Abracosa | 2219717 | 1 | 05/28/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Lance Phillips | 1283402 | 3 | 04/16/2001 | Customer Dispute | Award / Judgment | $100,000.00 | $25,840.00 | See FINRA Report |
| Robert Iola | 2103831 | 3 | 04/09/2001 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |