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 |
|---|---|---|---|---|---|---|---|---|
| Michael Yongjin Kittelson | 5296014 | 1 | 04/25/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Oscar Guillermo Ocampo | 5685380 | 1 | 06/24/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher John Streich | 5056915 | 1 | 02/09/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brett Jurgen Fisher | 5264459 | 4 | 01/29/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jack He Wang | 6099503 | 2 | 10/15/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Foster Geik | 2168516 | 1 | 08/30/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Allen C Lu | 3157356 | 1 | 08/12/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Richard Kiger | 6450078 | 1 | 07/14/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anne Summers | 2591409 | 1 | 12/30/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Clint David Muirhead | 5363261 | 1 | 11/10/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |