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 |
|---|---|---|---|---|---|---|---|---|
| John Soto | 2672752 | 2 | 07/24/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Matthew Joseph Nahman | 6935269 | 1 | 03/08/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nicholas Guccia | 6370707 | 1 | 09/15/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Frank A Deshantz | 5831976 | 2 | 07/12/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenneth C Kondas | 2882129 | 1 | 05/03/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Courtney Huijuan Shan | 7241200 | 1 | 03/09/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Peter Konstantinos Billis | 2680358 | 3 | 11/28/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| George Mauae Purdy | 5865750 | 2 | 10/07/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Luan Thieu Lam | 5910344 | 1 | 07/13/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nathan Marc Cedarleaf | 4341451 | 4 | 04/06/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |