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 |
|---|---|---|---|---|---|---|---|---|
| Walter Roland Valenzuela | 2280224 | 16 | 06/21/2021 | Customer Dispute | Denied | $15,334.00 | $0.00 | See FINRA Report |
| Mary Kathryn Duke | 2881819 | 5 | 06/04/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Gray Kiser | 3228861 | 1 | 05/21/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Matthew David Raves | 5615774 | 8 | 05/11/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Samuel Wesley Sanso | 7676473 | 1 | 05/03/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew David Raves | 5615774 | 8 | 04/21/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph William Moyer | 1020245 | 8 | 03/29/2021 | Customer Dispute | Denied | $189,000.00 | $0.00 | See FINRA Report |
| Theodore James Zouzounis | 477170 | 2 | 03/19/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Walter Roland Valenzuela | 2280224 | 16 | 03/18/2021 | Customer Dispute | Closed-No Action | $280,000.00 | $0.00 | See FINRA Report |
| Justin Walt Parker | 4364398 | 4 | 03/18/2021 | Customer Dispute | Closed-No Action | $280,000.00 | $0.00 | See FINRA Report |