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 |
|---|---|---|---|---|---|---|---|---|
| Nathan Donald Sealey | 2997307 | 6 | 01/25/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mary Kathryn Duke | 2881819 | 5 | 12/19/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Michael Dick | 2928617 | 1 | 10/29/2021 | Customer Dispute | Denied | $62,569.00 | $0.00 | See FINRA Report |
| Jamie Charrise Eichwald | 5867522 | 2 | 10/25/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew David Raves | 5615774 | 8 | 07/29/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Franklin Jeffrey McElroy | 2237589 | 7 | 07/20/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Lee Greer | 4185363 | 1 | 07/13/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brandon Hardee | 7199545 | 1 | 07/12/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Benjamin William Belanger | 5293459 | 4 | 07/02/2021 | Customer Dispute | Settled | $271,600.00 | $0.00 | See FINRA Report |
| Benjamin William Belanger | 5293459 | 4 | 06/30/2021 | Customer Dispute | Settled | $271,000.00 | $0.00 | See FINRA Report |