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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Bernard Wiser | 470549 | 6 | 12/08/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Heather Kelly Dean | 3048994 | 1 | 10/20/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Craig Steven Dean | 2314344 | 1 | 04/29/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Aivars Ziedins | 476441 | 2 | 09/26/1988 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Blake Nelson | 1199678 | 1 | 08/02/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Morris Nathan Symson | 441596 | 3 | 01/01/1988 | Customer Dispute | Award / Judgment | $360,000.00 | $16,800.00 | See FINRA Report |
| Paul Stanley Devore | 66743 | 1 | 01/01/1988 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Aivars Ziedins | 476441 | 2 | 11/10/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Martin Lomes | 1395977 | 2 | 06/10/1987 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eric E Harley | 2678289 | 1 | 02/22/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |