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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Meredith McCoy | 4557189 | 5 | 03/13/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Harry Pringle Hewes | 6190381 | 1 | 03/09/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Nathan Marc Cedarleaf | 4341451 | 4 | 02/12/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Francisco Javier Fernandez Leon | 5648271 | 7 | 01/24/2020 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Kevin Meredith McCoy | 4557189 | 5 | 12/05/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Francisco Javier Fernandez Leon | 5648271 | 7 | 10/07/2019 | Customer Dispute | Settled | $43,000.00 | $0.00 | See FINRA Report |
| Francisco Javier Fernandez Leon | 5648271 | 7 | 10/07/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Susan June Derenzo | 4309660 | 1 | 06/20/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Keith Frederick France | 3273902 | 3 | 04/29/2019 | Customer Dispute | Closed-No Action | $6,000.00 | $0.00 | See FINRA Report |
| Kerry Gerow Farley | 1560826 | 1 | 01/15/2019 | Customer Dispute | Settled | $41,530.00 | $0.00 | See FINRA Report |