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 James Larson | 3067781 | 2 | 10/10/2014 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Kristie Kaye Jordahl | 4307281 | 1 | 07/28/2014 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Brett Jurgen Fisher | 5264459 | 4 | 07/25/2014 | Customer Dispute | Closed-No Action | $8,900.50 | $0.00 | See FINRA Report |
| Juan Rascon | 5631144 | 3 | 07/14/2014 | Customer Dispute | Settled | $24,000.00 | $0.00 | See FINRA Report |
| Colin Christy Kelty | 5859007 | 4 | 07/07/2014 | Customer Dispute | Denied | $10,458.90 | $0.00 | See FINRA Report |
| Brett Jurgen Fisher | 5264459 | 4 | 04/17/2014 | Customer Dispute | Settled | $20,220.00 | $0.00 | See FINRA Report |
| Eric Blake Evers | 1810428 | 1 | 03/11/2014 | Customer Dispute | Denied | $5,775.00 | $0.00 | See FINRA Report |
| Lance Allan Moody | 2411418 | 2 | 01/22/2014 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Shannah Susan Mollet-Kreller | 4518143 | 1 | 12/18/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Darrell Ross Avery | 2506212 | 2 | 11/27/2013 | Customer Dispute | Settled | $37,380.50 | $0.00 | See FINRA Report |