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 |
|---|---|---|---|---|---|---|---|---|
| Xuemei Qian | 6155322 | 3 | 05/24/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Juan Rascon | 5631144 | 3 | 05/18/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Rory Lee Pinsky | 6654081 | 1 | 05/12/2023 | Customer Dispute | Settled | $26,000.00 | $0.00 | See FINRA Report |
| Trey Andrew Toifel | 5830403 | 2 | 05/10/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Blake Street Bolden | 5649364 | 1 | 04/17/2023 | Customer Dispute | Denied | $160,000.00 | $0.00 | See FINRA Report |
| Daniel Paul Burkott | 4710068 | 2 | 04/03/2023 | Customer Dispute | Settled | $499,999.00 | $0.00 | See FINRA Report |
| Daniel Paul Burkott | 4710068 | 2 | 04/03/2023 | Customer Dispute | Settled | $489,898.00 | $0.00 | See FINRA Report |
| James William Robinson | 6388861 | 1 | 02/27/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Victor James Furniss | 5957759 | 3 | 02/06/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Howard Hao-Chung Hsieh | 4947882 | 5 | 12/27/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |