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 |
|---|---|---|---|---|---|---|---|---|
| Juan Rascon | 5631144 | 3 | 09/03/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lanting Wei | 6242083 | 2 | 07/29/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ping Shuang Cathy Wu | 4924232 | 5 | 07/25/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mitchell Darrin Daley | 2733915 | 1 | 05/07/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joshua Aaron Green | 4970616 | 3 | 01/29/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alexander Arango | 6405666 | 6 | 12/20/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew Zachary Lofton | 6723209 | 1 | 09/13/2023 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| John Neeman Coury | 6260315 | 1 | 09/07/2023 | Customer Dispute | Denied | $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 |