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 |
|---|---|---|---|---|---|---|---|---|
| Lance Allan Moody | 2411418 | 2 | 10/08/1998 | Customer Dispute | Closed-No Action | $18,086.50 | $0.00 | See FINRA Report |
| Thomas Norman Zirbel | 1031111 | 4 | 09/23/1997 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |
| Thomas Norman Zirbel | 1031111 | 4 | 02/20/1997 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Julie Melton Simmons | 1059710 | 2 | 04/26/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anthony Tarantino | 1268379 | 7 | 11/15/1995 | Customer Dispute | Award / Judgment | $1,500.00 | $87,500.00 | See FINRA Report |
| Anthony Tarantino | 1268379 | 7 | 10/12/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Julie Melton Simmons | 1059710 | 2 | 07/24/1995 | Customer Dispute | Settled | $20,632.10 | $0.00 | See FINRA Report |
| Douglas C Lake | 1452473 | 1 | 06/13/1995 | Customer Dispute | Settled | $87,644.80 | $0.00 | See FINRA Report |
| Anthony Vincent Angarola | 1359224 | 1 | 12/20/1994 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Caren Lee Lawson | 1435442 | 1 | 11/03/1994 | Customer Dispute | Settled | $72,000.00 | $0.00 | See FINRA Report |