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 |
|---|---|---|---|---|---|---|---|---|
| Patricia Lee Tippin | 7622600 | 1 | 07/19/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Kevin Burton | 2296027 | 1 | 07/12/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Edward Hunter | 2038113 | 1 | 07/07/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marina McCleneghen Glavota | 4270120 | 6 | 03/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lisa Mischele Guillory | 2119094 | 1 | 03/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tanner Scott Cavaille | 6929221 | 1 | 02/04/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Nejfelt | 5598679 | 2 | 01/26/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jessica Eaton | 6812794 | 1 | 12/22/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marina McCleneghen Glavota | 4270120 | 6 | 12/20/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jordain Augustine Smith | 7632385 | 2 | 11/22/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |