JOSEPH JAMES FISHELLA

JOSEPH JAMES FISHELLA is currently employed as a Broker and/or Investment Adviser at KESTRA INVESTMENT SERVICES, LLC located at 745 McClintock Dr, Suite 120, Burr Ridge, IL, 60527.

JOSEPH JAMES FISHELLA has worked at KESTRA INVESTMENT SERVICES, LLC since July 28, 2016

Disclosure History

JOSEPH JAMES FISHELLA has 1 Disclosure Event(s).

Date: October 24, 2006
Category: Customer Dispute
Allegations: CUSTOMER CLAIMS THAT THE ASSET ALLOCATION WITHIN AN ANNUITY PURCHASED IN JUNE 2000 ON RECOMMENDATION OF FINANCIAL ADVISOR WAS ALLEGEDLY UNSUITABLE.
Damage Amount Requested: $90,000.00

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All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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