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 |
|---|---|---|---|---|---|---|---|---|
| Laura Christine Franklin | 6518573 | 4 | 02/29/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Sean R Mainwaring | 7047903 | 5 | 01/05/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sean R Mainwaring | 7047903 | 5 | 01/05/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sean R Mainwaring | 7047903 | 5 | 01/03/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Artiz Demetrius Stroud | 5362366 | 1 | 12/16/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jill Kaufman | 1837595 | 7 | 10/16/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brady Edward Allen Lucyk | 6437162 | 1 | 08/24/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carrie Renee Gobin | 6218373 | 2 | 12/31/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew M Mahabadi | 6726029 | 2 | 12/10/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas C McMahan | 5578896 | 4 | 12/06/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |