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 |
|---|---|---|---|---|---|---|---|---|
| Qiadong Zhao | 5696736 | 1 | 10/13/2020 | Customer Dispute | Denied | $160,000.00 | $0.00 | See FINRA Report |
| Jason Bryce Covington | 4303657 | 2 | 09/30/2020 | Customer Dispute | Settled | $4,000,000.00 | $0.00 | See FINRA Report |
| Erik Martin Larsen | 4464183 | 1 | 09/09/2020 | Customer Dispute | Settled | $182,000.00 | $0.00 | See FINRA Report |
| Frank Richard Nickey | 4287405 | 2 | 07/21/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 07/02/2020 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Nicholas C McMahan | 5578896 | 4 | 06/20/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kevin Meredith McCoy | 4557189 | 5 | 05/19/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin Meredith McCoy | 4557189 | 5 | 05/13/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew Hung Nguyen | 4126281 | 1 | 03/18/2020 | Customer Dispute | Denied | $22,500.00 | $0.00 | See FINRA Report |
| Nicholas Shawn Doyle | 4962555 | 1 | 03/16/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |