Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 11, 2017 indicate that Missouri-based Kestra Investment Services broker/adviser Herbert Smith has recently received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Smith (CRD# 427804).
Herbert Smith has spent 49 years in the securities industry and has been registered with Kestra Investment Services in St. Louis, Missouri since 2001. Previous registrations include MML Investors Services in Springfield, Massachusetts (1996-2001); GR Phelps & Company (1978-1996); Acacia Equity Sales Corporation (1975-1987); and CG Equity Sales Company (1967-1975). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); and Series 1 (Registered Representative Examination). He is a registered broker and investment adviser with five US states: Florida, Missouri, New Jersey, New Mexico and New York.
According to his BrokerCheck report, he has recently received one pending customer complaint and two unsatisfied tax liens.
In May 2017 a customer alleged Herbert Smith, while employed at Kestra Investment Services, recommended an unsuitable energy limited partnership investment in 2014. The customer is seeking $2,097,933 in damages in the pending complaint.
In 2016 the Internal Revenue Service filed a tax lien totaling $69,542.13 against Mr. Smith. The lien remains outstanding.
In 2014 the Internal Revenue Service filed a tax lien totaling $65,692 against Mr. Smith. The lien remains outstanding.
If you or someone you know has a complaint regarding Herbert Smith, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.