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 |
|---|---|---|---|---|---|---|---|---|
| Peter Michael Kalin | 3097799 | 4 | 11/05/2012 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Kimberly R Superneau | 4548225 | 2 | 07/13/2012 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |
| William R Constantine | 5304101 | 1 | 05/07/2012 | Customer Dispute | Settled | $90,629.50 | $0.00 | See FINRA Report |
| Kelley Renee Collingwood | 4587843 | 1 | 04/03/2012 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Brent Alan Barchent | 3070077 | 1 | 02/16/2012 | Customer Dispute | Settled | $14,213.80 | $0.00 | See FINRA Report |
| Thomas H Kim | 2108627 | 3 | 01/30/2012 | Customer Dispute | Settled | $1,100,000.00 | $0.00 | See FINRA Report |
| Sarah Elizabeth Brechbuehl | 4499643 | 1 | 01/23/2012 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Jennifer Hope Koenig | 5609906 | 1 | 08/04/2011 | Customer Dispute | Settled | $22,987.90 | $0.00 | See FINRA Report |
| Stephen Craig Johnson | 1445785 | 2 | 06/15/2011 | Customer Dispute | Withdrawn | $5,200.00 | $0.00 | See FINRA Report |
| Mildred Patubo | 2458479 | 3 | 06/08/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |