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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Hoysick | 6244191 | 2 | 04/22/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melvin Mitchell | 6456156 | 1 | 04/08/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kascia Polk | 4641664 | 1 | 03/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marcus Gorgees | 5917948 | 2 | 02/04/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Betsy Ann Abney | 2677004 | 2 | 12/31/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jarrett Andrew Krienes | 2812284 | 1 | 12/22/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michelle Lynn Tolmoff | 4886597 | 1 | 12/19/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Darius Harrison | 6601351 | 1 | 12/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Juan A Guerrero | 4295408 | 1 | 10/22/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dawn Susanne Demers | 5327883 | 1 | 10/21/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |