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Category Kestra Investment Services

Former Kestra Investment Services, LLC Broker, Herman Khan, Has Six Customer Complaint Disclosures, Including A Pending Complaint, Alleging Sales Practice Misconduct

August 28, 2020

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…

Kestra Investment Services, LLC, Jerry Korchak, Was The Subject of a Customer Complaint Disclosure in May 2020

July 14, 2020

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…

Former Kestra Investment Services Financial Advisor, Donald Padilla, Suspended By FINRA For Five Months

June 7, 2020

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…

Former Kestra Investment Services Broker, James Daughtry, Barred By FINRA, After Allegations Of Fraudulent And Unauthorized Transactions Entered In Customer Accounts

March 22, 2020

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…

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