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 |
|---|---|---|---|---|---|---|---|---|
| Chang Jen Vung | 5347816 | 3 | 05/06/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Jason Bryce Covington | 4303657 | 2 | 04/27/2022 | Customer Dispute | Settled | $12,256.00 | $0.00 | See FINRA Report |
| Dimitar Nikolaev Mushkov | 5699156 | 1 | 04/18/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joshua Aaron Green | 4970616 | 3 | 03/22/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Taylor Realino McBath | 6536354 | 1 | 02/25/2022 | Customer Dispute | Denied | $11,421.00 | $0.00 | See FINRA Report |
| Kimberly R Superneau | 4548225 | 2 | 02/25/2022 | Customer Dispute | Denied | $34,790.10 | $0.00 | See FINRA Report |
| Doris C Lau | 5750600 | 1 | 02/17/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Linda Liu | 4155741 | 3 | 12/03/2021 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Ping Shuang Cathy Wu | 4924232 | 5 | 11/24/2021 | Customer Dispute | Settled | $330,000.00 | $0.00 | See FINRA Report |
| Julia Ann McGinnis | 1696305 | 1 | 11/18/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |