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 | 06/28/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Ping Shuang Cathy Wu | 4924232 | 5 | 05/21/2021 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Robin Vail Platt | 2584058 | 2 | 05/04/2021 | Customer Dispute | Settled | $1,250,000.00 | $0.00 | See FINRA Report |
| Alexander Arango | 6405666 | 6 | 05/03/2021 | Customer Dispute | Settled | $8,141.61 | $0.00 | See FINRA Report |
| Alexander Arango | 6405666 | 6 | 04/28/2021 | Customer Dispute | Settled | $9,218.47 | $0.00 | See FINRA Report |
| Jiaqi Chen | 6048832 | 1 | 04/22/2021 | Customer Dispute | Settled | $221,000.00 | $0.00 | See FINRA Report |
| Alexander Arango | 6405666 | 6 | 04/21/2021 | Customer Dispute | Settled | $163,000.00 | $0.00 | See FINRA Report |
| Jian Cheng Li | 5814529 | 1 | 04/09/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jefferson Carl Campbell | 6312611 | 1 | 01/11/2021 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |
| Linda Liu | 4155741 | 3 | 12/15/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |