There are options for clients of former Kestra Investment Services, LLC broker Carey Rolls (CRD# 5528735), regarding unsuitable investment recommendations. He was registered with Kestra Investment Services, LLC in Fort Worth, Texas, from 2023 to 2026, and with Principal Securities, Inc. in Fort Worth, Texas, from 2011 to 2023.
Carey Rolls Customer Complaints
He has been the subject of two customer complaints, according to his CRD report:
May 2026. “Customers allege that their former financial advisor directed them to invest in a non-Firm loan investment and in a separate non-Firm business venture (boat and shipping company), both of which investments were unsuitable and resulted in losses to their investment amounts. Customers assert claims of breach of fiduciary duty, fraud, and civil theft.” The customer is seeking $500,000 in damages, and the case is currently pending. The complaint was regarding investment contracts, and it took place while he was registered with Kestra Investment Services, LLC.
May 2026. “Customers allege that their former financial advisor directed them to invest in a non-Firm loan investment andin a separate non-Firm business venture (boat and shipping company), both of which investments were unsuitable and resulted in losses to their investment amounts. Customers assert claims of breach of fiduciary duty, fraud, and civil theft.” The customer is seeking $500,000 in damages, and the case is currently pending. The complaint was regarding investment contracts, and it took place while he was registered with Kestra Investment Services, LLC.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Kestra Investment Services, LLC may be liable for investment or other losses suffered by Carey Rolls’ customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
"*" indicates required fields
