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 |
|---|---|---|---|---|---|---|---|---|
| Sean R Mainwaring | 7047903 | 5 | 12/29/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christian Filiaggi | 5148477 | 2 | 06/30/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eric John Henry | 5842896 | 1 | 10/03/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gerard Valenti | 6386849 | 1 | 03/17/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter Anthony Maddox | 4304442 | 1 | 08/04/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ashley Nicole Brewer | 6598663 | 1 | 03/31/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lev Ravkin | 5469760 | 1 | 05/14/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Skylar Armstrong Koon | 5685877 | 1 | 02/26/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Keith Yarkin | 1259931 | 3 | 12/23/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jennifer Lutgens | 7562962 | 1 | 08/21/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |