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 |
|---|---|---|---|---|---|---|---|---|
| Peter Konstantinos Billis | 2680358 | 3 | 08/30/2018 | Customer Dispute | Denied | $115,000.00 | $0.00 | See FINRA Report |
| Samantha A Frasier | 4969953 | 1 | 08/14/2018 | Customer Dispute | Denied | $15,335.60 | $0.00 | See FINRA Report |
| Jeffrey Thomas Williams | 4260515 | 2 | 08/10/2018 | Customer Dispute | Denied | $24,545.30 | $0.00 | See FINRA Report |
| Jorge Cesar Escobedo | 4631949 | 1 | 06/22/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Victor James Furniss | 5957759 | 3 | 05/31/2018 | Customer Dispute | Denied | $9,200.00 | $0.00 | See FINRA Report |
| Michael Adrian Sharp | 6285241 | 1 | 01/03/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Betty Won Lee | 2865630 | 1 | 12/07/2017 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Lyle Maurer | 6415914 | 1 | 11/27/2017 | Customer Dispute | Denied | $39,500.00 | $0.00 | See FINRA Report |
| Frank A Deshantz | 5831976 | 2 | 10/05/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rod I Skaf | 2822001 | 4 | 09/12/2017 | Customer Dispute | Denied | $38,000.00 | $0.00 | See FINRA Report |