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 |
|---|---|---|---|---|---|---|---|---|
| Xuemei Qian | 6155322 | 2 | 09/29/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Brandon Thomas Bean | 5482951 | 1 | 09/29/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mark Coe Pendergrast | 1648139 | 1 | 09/01/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lonnie Jacob Woodall | 5499376 | 1 | 07/19/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tsz Kwan Lau | 6295070 | 1 | 07/14/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John David Wilson | 2364304 | 1 | 07/01/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sheeza Rashid | 6560034 | 1 | 06/15/2022 | Customer Dispute | Denied | $14,395.00 | $0.00 | See FINRA Report |
| Jonathan Eugene Anderson | 5211270 | 1 | 06/01/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Farol Caringal | 6413276 | 1 | 06/01/2022 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |
| Ivan Ji Cen | 5474263 | 3 | 05/25/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |