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 |
|---|---|---|---|---|---|---|---|---|
| Mildred Patubo | 2458479 | 3 | 06/08/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Damian Park Mullin | 4544945 | 2 | 06/08/2009 | Customer Dispute | Closed-No Action | $62,314.50 | $0.00 | See FINRA Report |
| Coty John Primeaux | 4434949 | 1 | 06/04/2009 | Customer Dispute | Closed-No Action | $12,638.80 | $0.00 | See FINRA Report |
| Jeremy Michael Davis | 4924731 | 1 | 11/03/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Rowland Lane | 1746170 | 1 | 11/16/2007 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |
| Malcolm Roger Parks | 1900191 | 1 | 04/13/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Joseph Forey | 2306014 | 1 | 08/29/2002 | Customer Dispute | Closed-No Action | $16,000.00 | $0.00 | See FINRA Report |
| Brian Phillip Gibbons | 2458342 | 1 | 07/02/2002 | Customer Dispute | Closed-No Action | $30,571.90 | $0.00 | See FINRA Report |
| Andrew Joseph Mullane | 3222113 | 5 | 01/02/2002 | Customer Dispute | Closed-No Action | $36,776.00 | $0.00 | See FINRA Report |
| Cristina Piccininni | 1940975 | 1 | 07/16/2001 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |