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 John Mallon | 2227468 | 2 | 01/25/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Christine Franklin | 6518573 | 4 | 11/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David William Sosa | 6725101 | 2 | 09/21/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John L Stevenson | 5969201 | 1 | 08/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Aimee L Anzai | 5793462 | 1 | 08/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Lionel Blais | 6496691 | 1 | 08/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christina Anderson | 6421335 | 1 | 07/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marina McCleneghen Glavota | 4270120 | 6 | 07/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jill Kaufman | 1837595 | 7 | 03/22/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Stacy Blair | 1804599 | 1 | 03/14/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |