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 Kraemer | 2511682 | 1 | 01/11/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Sheila Elaine Carmen | 2869452 | 4 | 10/15/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Lance Allan Moody | 2411418 | 2 | 10/08/1998 | Customer Dispute | Closed-No Action | $18,086.50 | $0.00 | See FINRA Report |