Click here for Clearing Firm's Margin Disclosure Document
SEC Rule 11Ac1-6 requires broker-dealers to disclose, on a quarterly basis and on a public web site, the identity of the market centers to which they route a significant percentage of their orders. Kestra Financial has a relationship with clearing broker, National Financial Services, LLC (NFS). Please click on the link below to access this information.
- NFS document >
- Kestra Financial Company Information >
- Kestra Investment Services Member FINRA/SIPC
- Kestra Investment Services is registered with the U.S. Securities Commission and the Municipal Securities Rulemaking Board. An investor brochure that describes the protections that may be provided by the MSRB rules and how to file a complaint with an appropriate regulatory authority is available at www.MSRB.org.
Check the background of Kestra Investment Services, LLC on FINRA’s BrokerCheck.