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 |
|---|---|---|---|---|---|---|---|---|
| Randall Marvin Holcombe | 1999602 | 1 | 08/29/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Craig Herbert | 1968586 | 4 | 08/01/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anthony Lawrence Henry | 3006425 | 1 | 07/11/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Janet Lee Baker | 4185456 | 1 | 07/08/2008 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Jason T Degolyer | 4342824 | 2 | 06/17/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Steve Ching Huang Chen | 4083684 | 2 | 06/07/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Craig Herbert | 1968586 | 4 | 05/02/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| William Albert Wilkes | 2486272 | 2 | 04/02/2008 | Customer Dispute | Settled | $15,940.20 | $0.00 | See FINRA Report |
| Daniel Gallogly | 3228559 | 1 | 04/02/2008 | Customer Dispute | Settled | $39,190.20 | $0.00 | See FINRA Report |
| Gary Ernest Pugh | 4511570 | 1 | 02/06/2008 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |