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 |
|---|---|---|---|---|---|---|---|---|
| Howard Hao-Chung Hsieh | 4947882 | 5 | 12/09/2022 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Sapphira Xiaopan Wang Chow | 6308704 | 1 | 11/17/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Thomas David Brunt | 6540520 | 1 | 10/26/2022 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Warren G Rogers II | 4599841 | 1 | 10/13/2022 | Customer Dispute | Settled | $23,500.00 | $0.00 | See FINRA Report |
| Adrian D Holmes | 6560799 | 1 | 10/13/2022 | Customer Dispute | Settled | $8,199.00 | $0.00 | See FINRA Report |
| Howard Graham Jones | 1963785 | 2 | 09/29/2022 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Brandon Thomas Bean | 5482951 | 1 | 09/29/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Xuemei Qian | 6155322 | 3 | 09/29/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 09/14/2022 | Customer Dispute | Settled | $16,018.80 | $0.00 | See FINRA Report |
| Mark Coe Pendergrast | 1648139 | 1 | 09/01/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |