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 |
|---|---|---|---|---|---|---|---|---|
| Gregory Lee Davis | 1094176 | 1 | 02/25/2003 | Customer Dispute | Denied | $10,911.10 | $0.00 | See FINRA Report |
| David Sosa | 2447013 | 7 | 02/06/2003 | Customer Dispute | Denied | $19,892.20 | $0.00 | See FINRA Report |
| Michael Joseph St. Pierre | 1760408 | 3 | 01/16/2003 | Customer Dispute | Denied | $9,827.21 | $0.00 | See FINRA Report |
| Charu Ashar | 1374613 | 1 | 01/10/2003 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Karen Tolbert Jones | 1217749 | 1 | 12/20/2002 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |
| Sandra Ualani Torres | 2048720 | 1 | 12/17/2002 | Customer Dispute | Denied | $28,000.00 | $0.00 | See FINRA Report |
| Louis Martin Wolfson | 1844848 | 1 | 11/12/2002 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |
| Beverly Anne Gleason | 2002926 | 1 | 10/31/2002 | Customer Dispute | Denied | $102,896.00 | $0.00 | See FINRA Report |
| David Sosa | 2447013 | 7 | 10/23/2002 | Customer Dispute | Denied | $40,193.90 | $0.00 | See FINRA Report |
| Stacey Lynn Casey | 2772645 | 2 | 08/06/2002 | Customer Dispute | Denied | $46,547.20 | $0.00 | See FINRA Report |