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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Dimitar Nikolaev Mushkov | 5699156 | 1 | 04/18/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joshua Aaron Green | 4970616 | 3 | 03/22/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Taylor Realino McBath | 6536354 | 1 | 02/25/2022 | Customer Dispute | Denied | $11,421.00 | $0.00 | See FINRA Report |
| Kimberly R Superneau | 4548225 | 2 | 02/25/2022 | Customer Dispute | Denied | $34,790.10 | $0.00 | See FINRA Report |
| Julia Ann McGinnis | 1696305 | 1 | 11/18/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eric Stephen Pasquini | 3176301 | 2 | 08/18/2021 | Customer Dispute | Denied | $19,156.70 | $0.00 | See FINRA Report |
| Chang Jen Vung | 5347816 | 3 | 06/28/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |