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 |
|---|---|---|---|---|---|---|---|---|
| Brian Michael Neyland | 2399536 | 1 | 07/22/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Arne Hogg | 4722897 | 1 | 05/30/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alton Brett Melancon | 4332927 | 3 | 05/28/2013 | Customer Dispute | Denied | $47,000.00 | $0.00 | See FINRA Report |
| Todd Edwin Richardson | 1251378 | 1 | 04/24/2013 | Customer Dispute | Denied | $47,321.60 | $0.00 | See FINRA Report |
| Kimberly R Superneau | 4548225 | 2 | 07/13/2012 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |
| Sarah Elizabeth Brechbuehl | 4499643 | 1 | 01/23/2012 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Douglas Edward Riedl | 3165287 | 1 | 04/28/2011 | Customer Dispute | Denied | $11,116.70 | $0.00 | See FINRA Report |
| Michael John Fredi | 2477928 | 1 | 03/22/2011 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Donald Richard Abaunza | 3172450 | 1 | 11/04/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Helen Hui Zhou | 4713583 | 1 | 06/29/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |