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 |
|---|---|---|---|---|---|---|---|---|
| Joon M Baek | 5722195 | 1 | 11/19/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Wheat Andrew Kelley | 1785019 | 1 | 11/11/2013 | Customer Dispute | Settled | $22,297.20 | $0.00 | See FINRA Report |
| Frank Richard Nickey | 4287405 | 2 | 08/21/2013 | Customer Dispute | Denied | $16,501.00 | $0.00 | See FINRA Report |
| Stephen John Fisher | 2826733 | 1 | 08/01/2013 | Customer Dispute | Denied | $21,690.90 | $0.00 | See FINRA Report |
| Brian Michael Neyland | 2399536 | 1 | 07/22/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Arne Hogg | 4722897 | 1 | 05/30/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alton Brett Melancon | 4332927 | 3 | 05/28/2013 | Customer Dispute | Denied | $47,000.00 | $0.00 | See FINRA Report |
| Fu Lin | 4594080 | 1 | 05/15/2013 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Todd Edwin Richardson | 1251378 | 1 | 04/24/2013 | Customer Dispute | Denied | $47,321.60 | $0.00 | See FINRA Report |
| James Clayton McConnell | 4969560 | 1 | 03/27/2013 | Customer Dispute | Settled | $18,195.00 | $0.00 | See FINRA Report |