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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Spiro Pandis | 2928410 | 4 | 08/16/2023 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 07/21/2023 | Customer Dispute | Settled | $191,426.00 | $0.00 | See FINRA Report |
| Chester Waggoner | 3237078 | 1 | 07/14/2023 | Customer Dispute | Closed-No Action | $23,000.00 | $0.00 | See FINRA Report |
| Colin Christy Kelty | 5859007 | 4 | 07/05/2023 | Customer Dispute | Pending | $240,000.00 | $0.00 | See FINRA Report |
| Spencer Philip Warn | 6610487 | 1 | 06/30/2023 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Jay Moultrie | 2338702 | 1 | 06/30/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Spiro Pandis | 2928410 | 4 | 06/29/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nathan Scott Smith | 6134919 | 1 | 06/23/2023 | Customer Dispute | Denied | $32,382.70 | $0.00 | See FINRA Report |
| Trey Andrew Toifel | 5830403 | 2 | 06/21/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| John David Strickler | 6211904 | 1 | 06/02/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |