Our Staff has compiled our research into a database of FINRA Broker Disclosures for Cetera Investment Services LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| David William Sosa | 6725101 | 2 | 09/06/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Juan Rascon | 5631144 | 3 | 09/03/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Roger Philip Turcotte | 1180997 | 1 | 09/03/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Richard Smith | 2632131 | 1 | 08/22/2024 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 08/19/2024 | Customer Dispute | Pending | $591,037.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 08/07/2024 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 08/01/2024 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| Lanting Wei | 6242083 | 2 | 07/29/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ping Shuang Cathy Wu | 4924232 | 5 | 07/25/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Soto | 2672752 | 2 | 07/24/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |