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 |
|---|---|---|---|---|---|---|---|---|
| Anthony Joseph Kowalski | 1736228 | 1 | 12/03/2002 | Customer Dispute | Settled | $110,862.00 | $0.00 | See FINRA Report |
| Louis Martin Wolfson | 1844848 | 1 | 11/12/2002 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |
| Beverly Anne Gleason | 2002926 | 1 | 10/31/2002 | Customer Dispute | Denied | $102,896.00 | $0.00 | See FINRA Report |
| David Sosa | 2447013 | 7 | 10/23/2002 | Customer Dispute | Denied | $40,193.90 | $0.00 | See FINRA Report |
| James Joseph Forey | 2306014 | 1 | 08/29/2002 | Customer Dispute | Closed-No Action | $16,000.00 | $0.00 | See FINRA Report |
| Andrew Joseph Mullane | 3222113 | 5 | 08/12/2002 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Stacey Lynn Casey | 2772645 | 2 | 08/06/2002 | Customer Dispute | Denied | $46,547.20 | $0.00 | See FINRA Report |
| Nancy Jean Almond | 2142868 | 2 | 07/30/2002 | Customer Dispute | Denied | $470,000.00 | $0.00 | See FINRA Report |
| Brian Phillip Gibbons | 2458342 | 1 | 07/02/2002 | Customer Dispute | Closed-No Action | $30,571.90 | $0.00 | See FINRA Report |
| John Burton Myres | 1590317 | 1 | 03/06/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |