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 |
|---|---|---|---|---|---|---|---|---|
| William Albert Wilkes | 2486272 | 2 | 04/13/2015 | Customer Dispute | Denied | $7,307.37 | $0.00 | See FINRA Report |
| Peter Konstantinos Billis | 2680358 | 3 | 03/13/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Marcos Guillermo Ubinas | 4452665 | 1 | 02/05/2015 | Customer Dispute | Denied | $82,071.30 | $0.00 | See FINRA Report |
| Vahe Stepanian | 5688161 | 1 | 11/07/2014 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |
| Colin Christy Kelty | 5859007 | 4 | 07/07/2014 | Customer Dispute | Denied | $10,458.90 | $0.00 | See FINRA Report |
| Eric Blake Evers | 1810428 | 1 | 03/11/2014 | Customer Dispute | Denied | $5,775.00 | $0.00 | See FINRA Report |
| Lance Allan Moody | 2411418 | 2 | 01/22/2014 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Joon M Baek | 5722195 | 1 | 11/19/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Frank Richard Nickey | 4287405 | 2 | 08/21/2013 | Customer Dispute | Denied | $16,501.00 | $0.00 | See FINRA Report |
| Stephen John Fisher | 2826733 | 1 | 08/01/2013 | Customer Dispute | Denied | $21,690.90 | $0.00 | See FINRA Report |