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 |
|---|---|---|---|---|---|---|---|---|
| Jared Michael Mire | 4758520 | 1 | 12/06/2016 | Customer Dispute | Settled | $24,356.30 | $0.00 | See FINRA Report |
| Rebecca Leigh Fisher | 4523868 | 1 | 09/27/2016 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Thomas H Kim | 2108627 | 3 | 09/27/2016 | Customer Dispute | Denied | $27,179.00 | $0.00 | See FINRA Report |
| Linda Liu | 4155741 | 3 | 08/04/2016 | Customer Dispute | Denied | $5,460.00 | $0.00 | See FINRA Report |
| Ping Shuang Cathy Wu | 4924232 | 5 | 08/03/2016 | Customer Dispute | Denied | $2,162.51 | $0.00 | See FINRA Report |
| Ping Shuang Cathy Wu | 4924232 | 5 | 08/03/2016 | Customer Dispute | Denied | $2,219.84 | $0.00 | See FINRA Report |
| Keith Frederick France | 3273902 | 3 | 07/20/2016 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |
| David Gulyamov | 5049773 | 4 | 07/06/2016 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Carlos Rivas | 4429905 | 2 | 06/29/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Kevin James Larson | 3067781 | 2 | 05/16/2016 | Customer Dispute | Settled | $315,000.00 | $0.00 | See FINRA Report |