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 |
|---|---|---|---|---|---|---|---|---|
| Rodney Alford Little | 1260096 | 1 | 03/02/2005 | Customer Dispute | Denied | $93,180.00 | $0.00 | See FINRA Report |
| David Brian Murphy | 2833525 | 1 | 08/18/2004 | Customer Dispute | Denied | $104,687.00 | $0.00 | See FINRA Report |
| John Robert Curran | 2436249 | 1 | 07/26/2004 | Customer Dispute | Denied | $18,623.70 | $0.00 | See FINRA Report |
| William Joseph Smith | 4020446 | 1 | 11/19/2003 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Harry Arthur Mewes | 2060097 | 1 | 11/10/2003 | Customer Dispute | Denied | $6,759.27 | $0.00 | See FINRA Report |
| David Sosa | 2447013 | 7 | 08/25/2003 | Customer Dispute | Denied | $21,179.20 | $0.00 | See FINRA Report |
| Richard Thomas | 2223861 | 1 | 06/18/2003 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Daniel Stevenson Shirley | 723576 | 3 | 06/12/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Katherine Jeanette Cathcart | 2343349 | 1 | 04/22/2003 | Customer Dispute | Denied | $90,000.00 | $0.00 | See FINRA Report |
| Eric Stephen Pasquini | 3176301 | 2 | 03/24/2003 | Customer Dispute | Denied | $6,097.00 | $0.00 | See FINRA Report |