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 |
|---|---|---|---|---|---|---|---|---|
| Jack Charles West | 1735378 | 5 | 02/09/2000 | Customer Dispute | Settled | $41,000.00 | $0.00 | See FINRA Report |
| Kevin John McPhee | 2316848 | 6 | 11/18/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew F Williams | 2091611 | 2 | 11/02/1999 | Customer Dispute | Settled | $92,000.00 | $0.00 | See FINRA Report |
| Clifford Louis Giles | 1314230 | 2 | 06/21/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Morris Nathan Symson | 441596 | 3 | 04/22/1999 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Michael Lance Phillips | 1283402 | 3 | 03/19/1999 | Customer Dispute | Denied | $12,500.00 | $0.00 | See FINRA Report |
| Matthew Aaron Goldstein | 2637415 | 1 | 03/17/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Walter Roland Valenzuela | 2280224 | 16 | 03/16/1999 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| George Edwin Cromer | 2462662 | 1 | 02/10/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian C Duttera | 1663644 | 3 | 12/31/1998 | Customer Dispute | Settled | $244,425.00 | $0.00 | See FINRA Report |