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 |
|---|---|---|---|---|---|---|---|---|
| Eric Stephen Pasquini | 3176301 | 2 | 03/24/2003 | Customer Dispute | Denied | $6,097.00 | $0.00 | See FINRA Report |
| Gregory Lee Davis | 1094176 | 1 | 02/25/2003 | Customer Dispute | Denied | $10,911.10 | $0.00 | See FINRA Report |
| David Sosa | 2447013 | 7 | 02/06/2003 | Customer Dispute | Denied | $19,892.20 | $0.00 | See FINRA Report |
| Jeffrey Howard Eichel | 2224038 | 4 | 01/27/2003 | Customer Dispute | Settled | $13,064.50 | $0.00 | See FINRA Report |
| Michael Joseph St. Pierre | 1760408 | 3 | 01/16/2003 | Customer Dispute | Denied | $9,827.21 | $0.00 | See FINRA Report |
| Charu Ashar | 1374613 | 1 | 01/10/2003 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Karen Tolbert Jones | 1217749 | 1 | 12/20/2002 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |
| Sandra Ualani Torres | 2048720 | 1 | 12/17/2002 | Customer Dispute | Denied | $28,000.00 | $0.00 | See FINRA Report |
| Daniel Stevenson Shirley | 723576 | 3 | 12/11/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alan Lee Swingler | 1143757 | 1 | 12/09/2002 | Customer Dispute | Settled | $15,073.00 | $0.00 | See FINRA Report |