Articles Tagged with Kestra Investment Services

Mark SindrichPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2019 indicate that Colorado-based Kestra Investment Services broker/adviser Mark Sindrich has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sindrich (CRD# 1097529).

Mark Sindrich has spent 35 years in the securities industry and has been registered with Kestra Investment Services in Denver, Colorado since since 1999. Previous registrations include Royal Alliance Associates in Jersey City, New Jersey (1989-1999) and Integrated Resources Equity Corporation (1983-1989). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 30, 1989; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on March 19, 1983; Series 51 (Municipal Fund Securities Principal Examination), which he obtained on April 26, 2003; and Series 24 (General Securities Principal Examination), which he obtained on August 17, 1987. He is a registered broker and investment adviser with 23 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Georgia, Hawaii, Illinois, Iowa, Kansas, Massachusetts, Missouri, Montana, Nevada, New York, North Carolina, Oklahoma, Pennsylvania, Texas, Utah, Virginia, Washington, and Wisconsin.

According to his BrokerCheck report, he has received one pending customer complaint.

Jeffrey BreaultPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 17, 2018 indicate that Kansas-based Kestra Investment Services broker/adviser Jeffrey Breault has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Breault (CRD# 1757281).

Jeffrey Breault has spent 31 years in the securities industry and has been registered with Kestra Investment Services in Wichita, Kansas since 2016. Previous registrations include Carey Thomas Hoover & Breault in Wichita, Kansas (1995-2016); Rhodes Securities in Fort Worth, Texas (1990-1995); AG Edwards & Sons in St. Louis, Missouri (1989-1990); and Firm One Securities (1987-1989). He has passed eight securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 24, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 21, 1987; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on October 17, 1987; Series 4 (Registered Options Principal Examination), which he obtained on July 26, 1995; Series 27 (Financial and Operations Principal Examination), which he obtained on May 31, 1995; Series 24 (General Securities Principal Examination), which he obtained on May 2, 1995; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on October 26, 1990. He is a registered broker and investment adviser with 19 US states and territories: Alabama, Arizona, California, Colorado, Florida, Georgia, Illinois, Kansas, Missouri, North Carolina, Ohio, Oklahoma, Pennsylvania, South Carolina, Tennessee, Texas, Washington, Wisconsin, and Wyoming.

According to his BrokerCheck report, he has received one pending customer complaint and one regulatory sanction.

Donald PadillaPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 15, 2018 indicate that former California-based National Securities Corporation and Kestra Investment Services broker/adviser Donald Padilla was recently discharged from his former employer in connection to alleged rule violations and has been named in a FINRA investigation. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Padilla (CRD# 3053711).

Donald Padilla has spent 20 years in the securities industry and was most recently registered with National Securities Corporation in Alhambra, California (2018). Previous registrations include Kestra Investment Services in Alhambra, California (2015-2018); LPL Financial in Alhambra, California (2009-2015); Wamu Investments in Alhambra, California (2000-2009); and Signator Investors in Boston, Massachusetts (1998-2001). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 23, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 24, 1998; SIE (Securities Industry Essentials Examination), which he obtained on September 20, 2018; Series 7 (General Securities Representative Examination), which he obtained on September 28, 2000; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 27, 1998; and Series 24 (General Securities Principal Examination), which he obtained on February 17, 2010. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was recently discharged from a former employer in connection to alleged rule violations, resigned from another former employer in connection to alleged rule violations, and has been named in a FINRA investigation.

Gregory AcostaPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 26, 2018 indicate that California-based Kestra Investment Services broker Gregory Acosta has been named in a pending regulatory complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Acosta (CRD# 816526).

Gregory Acosta has spent 24 years in the securities industry and has been registered with Kestra Investment Services in Diamond Bar, California since 2011. Previous registrations include Securities America in Diamond Bar, California (1998-2011); Mutual Service Corporation in Boston, Massachusetts (1999); Linsco/Private Ledger Corporation in Boston, Massachusetts (1994-1998); and Hartford Equity Sales Company in Hartford, Connecticut (1993-1994). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 20, 1993; Series 5 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 20, 1993; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on February 11, 2000. He is a registered broker with eleven US states and territories: California, Connecticut, Georgia, Idaho, Nevada, North Carolina, Pennsylvania, Texas, Utah, Virginia, and Washington.

According to his BrokerCheck report, Gregory Acosta has received one customer complaint and one pending regulatory sanction.