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 |
|---|---|---|---|---|---|---|---|---|
| Carmen Iok Sim Iao | 2937629 | 1 | 06/24/2018 | Customer Dispute | Award / Judgment | $966.40 | $0.00 | See FINRA Report |
| Kyong H Kim | 2510032 | 1 | 08/25/2015 | Customer Dispute | Award / Judgment | $25,791.80 | $0.00 | See FINRA Report |
| Alexey Bulankov | 4061360 | 3 | 08/10/2010 | Customer Dispute | Award / Judgment | $24,950.00 | $0.00 | See FINRA Report |
| Craig Herbert | 1968586 | 4 | 06/12/2009 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See FINRA Report |
| James A McMahon | 2494353 | 2 | 09/16/2004 | Customer Dispute | Award / Judgment | $500,000.00 | $419,000.00 | See FINRA Report |
| Anthony Tarantino | 1268379 | 7 | 11/15/1995 | Customer Dispute | Award / Judgment | $1,500.00 | $87,500.00 | See FINRA Report |