Potomac Analytics' Logo

FINRA Broker Disclosures for Kestra Investment Services, LLC

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:

Filter by:

Sort by:

Displaying 551-560 out of 597 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Karen Shaw Cunningham1134960310/01/1998Customer DisputeSettled$45,065.00$0.00See FINRA Report
Gerald Lyman Ursrey2554203309/06/1998CriminalFinal Disposition$0.00$0.00See FINRA Report
John Robert Stockton836438207/12/1998Customer DisputeSettled$0.00$0.00See FINRA Report
Kenneth Craig Morris874609207/02/1998Customer DisputeSettled$135,000.00$0.00See FINRA Report
Kenneth Craig Morris874609207/01/1998Customer DisputeSettled$70,000.00$0.00See FINRA Report
Stephen Douglas Evans4701021101/03/1998CriminalFinal Disposition$0.00$0.00See FINRA Report
Philip Giammarino1999395109/23/1997Customer DisputeDenied$0.00$0.00See FINRA Report
Monica Jane Placek2782011106/09/1997RegulatoryFinal$0.00$0.00See FINRA Report
Mark David Yadron1520648805/19/1997Customer DisputeSettled$0.00$0.00See FINRA Report
Kevin John McPhee2316848603/03/1997RegulatoryFinal$0.00$0.00See FINRA Report

597 Results

Display: