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 |
|---|---|---|---|---|---|---|---|---|
| Joao M Valente | 2867139 | 1 | 10/13/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicolas E Morcos | 6432562 | 2 | 03/04/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Fei Yi Wang | 5899211 | 2 | 09/27/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alexey Bulankov | 4061360 | 3 | 11/20/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alex Palomino | 7441498 | 1 | 06/20/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Sosa | 2447013 | 7 | 10/14/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bradley Forrest Hollandsworth | 6571021 | 1 | 04/20/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Blue Alexander Hybner | 6962852 | 1 | 01/20/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gloria C Gould | 5185465 | 1 | 09/17/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Samuel Adam Bair | 6276748 | 1 | 02/15/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |