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 |
|---|---|---|---|---|---|---|---|---|
| Steven David Nikkel | 3045349 | 1 | 12/13/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Benjamin Thomas Ross | 5071974 | 1 | 12/05/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shannon Lee Otterbeck | 4243413 | 1 | 11/09/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew Joseph Mullane | 3222113 | 5 | 09/19/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Soto | 2672752 | 2 | 11/30/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lakisha Kawon Brown | 5831038 | 1 | 11/28/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Chad E Dixon | 4024301 | 1 | 09/05/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jay Lynn Salonen | 6006365 | 1 | 07/11/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jose Luis Rodriguez | 2105127 | 1 | 04/18/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Craig Robert Dindinger | 2708092 | 1 | 12/16/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |