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 |
|---|---|---|---|---|---|---|---|---|
| Kurtis Anderson | 7054788 | 2 | 09/13/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marina McCleneghen Glavota | 4270120 | 6 | 08/31/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marina McCleneghen Glavota | 4270120 | 6 | 08/31/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James William Riles | 2252828 | 2 | 08/02/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cheryl Lee Voss | 4722360 | 8 | 07/21/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cheryl Lee Voss | 4722360 | 8 | 07/21/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Elliott Backes | 4102325 | 1 | 07/18/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Cheryl Lee Voss | 4722360 | 8 | 07/05/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cheryl Lee Voss | 4722360 | 8 | 06/03/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Suzanne Kent | 1105799 | 2 | 03/31/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |