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 |
|---|---|---|---|---|---|---|---|---|
| Mary Elise Flanigan | 4760492 | 1 | 11/09/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Juli Hofmockel Rahill | 5157586 | 1 | 11/09/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jonathan William Lonske | 2594921 | 4 | 11/09/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark David Yadron | 1520648 | 8 | 10/09/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Charles O'Keeffe | 1163872 | 1 | 09/25/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Walter Roland Valenzuela | 2280224 | 16 | 09/18/2020 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Walter Roland Valenzuela | 2280224 | 16 | 09/17/2020 | Customer Dispute | Settled | $104,000.00 | $0.00 | See FINRA Report |
| Eric Stephen Matthew Kee | 2718062 | 1 | 09/15/2020 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Kenneth Alan Matney | 2485645 | 3 | 09/09/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph William Moyer | 1020245 | 8 | 08/25/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |