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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Lee Smith | 7235973 | 1 | 06/06/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tablo Rodriguez Wright | 5907914 | 2 | 12/26/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Sosa | 2447013 | 7 | 03/31/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bradley Wayne Heath | 5052209 | 1 | 09/21/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Avram Greenberg | 4884286 | 1 | 07/12/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Steven Ikerd | 6274541 | 2 | 01/04/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gregory Allen Gray | 5092854 | 1 | 06/29/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christian Filiaggi | 5148477 | 2 | 04/10/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Casey Lee Scott Pena | 4607385 | 1 | 04/07/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Chad Matthew Raiche | 5794079 | 1 | 11/19/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |