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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Craig Johnson | 1445785 | 2 | 10/22/2008 | Customer Dispute | Denied | $16,500.00 | $0.00 | See FINRA Report |
| Arthur Norman Hornak | 1344456 | 1 | 10/10/2008 | Customer Dispute | Denied | $15,089.80 | $0.00 | See FINRA Report |
| Ralph Charles Kowal | 4013384 | 1 | 09/26/2008 | Customer Dispute | Denied | $21,000.00 | $0.00 | See FINRA Report |
| Benedetto Tony Agostino | 3244566 | 1 | 09/25/2008 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Brian Thomas Johnson | 4868446 | 1 | 09/10/2008 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Jeffrey Howard Eichel | 2224038 | 4 | 09/02/2008 | Customer Dispute | Denied | $13,826.30 | $0.00 | See FINRA Report |
| Randall Marvin Holcombe | 1999602 | 1 | 08/29/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Anthony Lawrence Henry | 3006425 | 1 | 07/11/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jason T Degolyer | 4342824 | 2 | 06/17/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Gary Ernest Pugh | 4511570 | 1 | 02/06/2008 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |