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 |
|---|---|---|---|---|---|---|---|---|
| Nicolas E Morcos | 6432562 | 2 | 05/22/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jonathan Paul Delo | 2599600 | 2 | 05/15/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jonathan Paul Delo | 2599600 | 2 | 05/15/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mildred Patubo | 2458479 | 3 | 10/04/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Nathan Cohen | 5083883 | 3 | 10/02/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tami Lee | 7065641 | 1 | 09/19/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Dickerson | 7712701 | 1 | 09/14/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Crystal Gail Demarco | 4018499 | 6 | 06/05/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Crystal Gail Demarco | 4018499 | 6 | 01/23/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Crystal Gail Demarco | 4018499 | 6 | 11/23/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |