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 |
|---|---|---|---|---|---|---|---|---|
| Jack He Wang | 6099503 | 2 | 10/26/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel E Gerena | 4704301 | 1 | 02/16/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph H Wang | 5165855 | 1 | 11/29/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brett Michael Dalessandro | 5662945 | 1 | 04/10/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Charles William Brown | 2178777 | 1 | 01/16/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Rita Delores Thompson | 4199149 | 1 | 01/05/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Xuemei Qian | 6155322 | 3 | 12/29/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jack Yusheng Lin | 4988229 | 1 | 07/09/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lanting Wei | 6242083 | 2 | 04/01/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Emily Jing Chang | 6191663 | 1 | 02/03/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |