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 |
|---|---|---|---|---|---|---|---|---|
| Chester Waggoner | 3237078 | 1 | 07/14/2023 | Customer Dispute | Closed-No Action | $23,000.00 | $0.00 | See FINRA Report |
| Spencer Philip Warn | 6610487 | 1 | 06/30/2023 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Xiao Qin Komischke | 5076489 | 2 | 10/06/2021 | Customer Dispute | Closed-No Action | $500,000.00 | $0.00 | See FINRA Report |
| Howard Hao-Chung Hsieh | 4947882 | 5 | 07/09/2021 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Harry Pringle Hewes | 6190381 | 1 | 03/09/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Susan June Derenzo | 4309660 | 1 | 06/20/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Keith Frederick France | 3273902 | 3 | 04/29/2019 | Customer Dispute | Closed-No Action | $6,000.00 | $0.00 | See FINRA Report |
| Timothy Howard Owings | 5392746 | 1 | 10/19/2015 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Andrew Hoysick | 6244191 | 2 | 12/19/2014 | Customer Dispute | Closed-No Action | $6,000.00 | $0.00 | See FINRA Report |
| Brett Jurgen Fisher | 5264459 | 4 | 07/25/2014 | Customer Dispute | Closed-No Action | $8,900.50 | $0.00 | See FINRA Report |