Category: Kestra Investment Services

Broker’s Background   Christopher Ziogas (CRD #: 1110989) was a previously registered broker with FINRA. He’s been previously employed with Cigna Securities, Private Ledger Financial Services, Linsco Financial Group, LPL Financial LLC, Metlife Securities, and Kestra Investment Services, LLC.   Current and Past Allegations of Conduct Leading to Investment Loss   According to publicly available […]

Denise Sobczak (CRD#: 3078128) is a dually registered Broker and Investment Advisor at Kestra Investment Services, LLC in Fairfield, NJ. Broker’s Background She entered the securities industry in 1998 and previously worked for Raymond James Financial Services Advisors, Inc.; Raymond James Financial Services, Inc.; Citigroup Global Markets, Inc.; and Merrill Lynch, Pierce, Fenner & Smith, […]

Herman Khan (CRD # 1866522) was a Financial Advisor at Kestra Investment Securities, LLC in Pittsburgh, PA. Herman Khan has been in the securities industry since 1992 and previously worked at Raymond James Financial Services, Inc. and Royal Alliance Associates, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Herman […]

Jerry Korchak (CRD # 1990284) is a Financial Advisor at Kestra Investment Services, LLC in Rockford, IL. Jerry Korchak has been in the securities industry since 1990 and previously worked at NFP Advisor Services, LLC and Allstate Financial Services, LLC. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in May […]

Donald Padilla (CRD # 5850275) was a Financial Advisor at Kestra Investment Services in Alhambra, California. Donald Padilla has been in the securities industry since 1998 and previously worked at LPL Financial and National Securities Corp. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in June 2020, FINRA sanctioned Donald […]

James Daughtry (CRD # 3272282) was a Financial Advisor at Kestra Investment Services in Dothan, Alabama. James Daughtry has been in the securities industry since 1999 and previously worked for Ameriprise Financial Services and Securities America. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on March 18, 2020, FINRA sanctioned […]

Michael Thomas Lee (CRD 502893) is a former Financial Advisor at Kestra Financial Services in Darien, CT.  Michael Lee has been in the securities industry since 2002 and previously worked at Morgan Stanley, Citigroup and Commonwealth Financial Network.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in July 2019, Michael […]

John W Spach is a former Financial Advisor at Kestra InvestmentServices, LLC in Aliso Viejo, CA.  John Spach has been in the securities industry since 1996 and previously worked at MML Investors Services, Inc., NFP Securities, Inc., Sentra Securities Corporation and Financial West Group, Financial Telesis, Inc.  According to publicly available records released by the […]

The Wolper Law Firm, P.A. is currently investigating claims against Mitchell Walk, a Financial Advisor at Kestra Financial Services, in Longwood, FL.  Mitchell Walk first entered the securities industry in 2001 and previously worked for Securities America. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Mitchell Walk has five customer […]