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 |
|---|---|---|---|---|---|---|---|---|
| Theodore Charles Horowitz | 2529174 | 1 | 03/01/2021 | Customer Dispute | Denied | $7,796.13 | $0.00 | See FINRA Report |
| Jonathan William Lonske | 2594921 | 4 | 02/23/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew David Raves | 5615774 | 8 | 02/19/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew David Raves | 5615774 | 8 | 02/11/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew David Raves | 5615774 | 8 | 02/05/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Earl Archambault | 1240039 | 5 | 02/02/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Douglas Carlson | 5584185 | 2 | 01/28/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph William Moyer | 1020245 | 8 | 01/15/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph William Moyer | 1020245 | 8 | 01/15/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Zachary Butler | 4458579 | 1 | 01/05/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |