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 |
|---|---|---|---|---|---|---|---|---|
| Rod Anthony Locricchio | 4402202 | 1 | 10/04/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Harvey Stuart Berk | 705380 | 2 | 02/01/1984 | Customer Dispute | Settled | $73,122.00 | $0.00 | See FINRA Report |
| Eloisa Vela | 6167151 | 1 | 09/02/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Rigby Carey | 846339 | 5 | 07/22/1981 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Rizzo | 853145 | 1 | 04/25/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven E Bender | 6124244 | 1 | 11/10/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Rollin Gilbert Schuster | 1211403 | 1 | 09/05/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Donald James Phillips | 1194732 | 1 | 09/23/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Bodnar Lundgaard | 2820129 | 1 | 10/15/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Sindrich | 1097529 | 2 | 10/05/1973 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |