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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Donald Grant | 1973491 | 1 | 12/01/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brandi M Pugh | 4470470 | 1 | 10/18/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Robert Stockton | 836438 | 2 | 09/04/1996 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Kevin John McPhee | 2316848 | 6 | 08/01/1996 | Customer Dispute | Award / Judgment | $9,000.00 | $10,000.00 | See FINRA Report |
| Stephen Leonard Friedman | 1107393 | 1 | 07/03/1996 | Customer Dispute | Settled | $2,500,000.00 | $0.00 | See FINRA Report |
| Al F Devji | 2309006 | 2 | 05/31/1995 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph William Moyer | 1020245 | 8 | 11/01/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian C Duttera | 1663644 | 3 | 10/17/1994 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Scott Bennett Sade | 1069305 | 5 | 08/09/1994 | Customer Dispute | Settled | $79,000.00 | $0.00 | See FINRA Report |
| Stephen Cutler Arnold | 1178562 | 4 | 05/20/1994 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |