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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Nejfelt | 5598679 | 2 | 03/08/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melissa Donna Darnell | 5949714 | 1 | 01/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Maximo Gregorio Centeno | 2571344 | 1 | 12/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jill Kaufman | 1837595 | 7 | 12/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marina McCleneghen Glavota | 4270120 | 6 | 12/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Randi Lynn Tyner | 6451724 | 1 | 10/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jahangir Ali Sultan | 4188015 | 1 | 10/16/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jill Kaufman | 1837595 | 7 | 09/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jill Kaufman | 1837595 | 7 | 08/23/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Joseph Silva | 2846524 | 1 | 07/25/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |