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 |
|---|---|---|---|---|---|---|---|---|
| Frank A Deshantz | 5831976 | 2 | 10/05/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rod I Skaf | 2822001 | 4 | 09/12/2017 | Customer Dispute | Denied | $38,000.00 | $0.00 | See FINRA Report |
| Colin Christy Kelty | 5859007 | 4 | 09/05/2017 | Customer Dispute | Settled | $507,069.00 | $0.00 | See FINRA Report |
| David Lee | 1857818 | 3 | 07/23/2017 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |
| Omar Maslic | 4413924 | 1 | 06/21/2017 | Customer Dispute | Denied | $5,129.43 | $0.00 | See FINRA Report |
| Robin Vail Platt | 2584058 | 2 | 06/12/2017 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Mark Anthony Nemmers | 4296170 | 1 | 01/20/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David Gulyamov | 5049773 | 4 | 01/13/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Gulyamov | 5049773 | 4 | 12/08/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nhien Yen Levitt | 5039336 | 1 | 12/07/2016 | Customer Dispute | Denied | $36,296.40 | $0.00 | See FINRA Report |