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 |
|---|---|---|---|---|---|---|---|---|
| Ping Shuang Cathy Wu | 4924232 | 5 | 08/03/2016 | Customer Dispute | Denied | $2,162.51 | $0.00 | See FINRA Report |
| Ping Shuang Cathy Wu | 4924232 | 5 | 08/03/2016 | Customer Dispute | Denied | $2,219.84 | $0.00 | See FINRA Report |
| Brianna Christine McClain | 5870195 | 1 | 04/26/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ira Leslie Aguado | 1706754 | 4 | 04/07/2016 | Customer Dispute | Denied | $37,500.00 | $0.00 | See FINRA Report |
| Jeffrey Thomas Williams | 4260515 | 2 | 03/28/2016 | Customer Dispute | Denied | $56,000.00 | $0.00 | See FINRA Report |
| Thomas Edward Anderson | 4543380 | 1 | 03/03/2016 | Customer Dispute | Denied | $19,177.20 | $0.00 | See FINRA Report |
| Kevin Michael Babcock | 4444468 | 1 | 09/30/2015 | Customer Dispute | Denied | $16,500.00 | $0.00 | See FINRA Report |
| Stacey Lynn Casey | 2772645 | 2 | 08/31/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sharron Crutchfield Ross | 5779664 | 1 | 07/30/2015 | Customer Dispute | Denied | $8,074.12 | $0.00 | See FINRA Report |
| Rod I Skaf | 2822001 | 4 | 06/09/2015 | Customer Dispute | Denied | $33,584.50 | $0.00 | See FINRA Report |