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 |
|---|---|---|---|---|---|---|---|---|
| Nicholas C McMahan | 5578896 | 4 | 12/06/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew M Mahabadi | 6726029 | 2 | 11/16/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Angelei Yamsuan Liongson | 2507652 | 1 | 10/31/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sean R Mainwaring | 7047903 | 5 | 06/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Christine Franklin | 6518573 | 4 | 05/13/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremy Joseph Cronin | 7388384 | 1 | 05/12/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jordain Augustine Smith | 7632385 | 2 | 03/18/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Christine Franklin | 6518573 | 4 | 02/05/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gideon Bernhard | 4522408 | 1 | 10/06/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gerald Michael Graves | 5191379 | 5 | 09/28/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |