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 |
|---|---|---|---|---|---|---|---|---|
| Crystal Gail Demarco | 4018499 | 6 | 11/23/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Carrie Renee Gobin | 6218373 | 2 | 06/08/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lamont McIntosh | 6281230 | 4 | 02/25/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lamont McIntosh | 6281230 | 4 | 02/25/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lamont McIntosh | 6281230 | 4 | 02/25/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andres Trujillo | 6819907 | 1 | 02/07/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shonah Yvette Turner | 4291415 | 3 | 02/02/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jose Alberto Lopez | 5308923 | 1 | 11/30/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ross H Klafter | 5523771 | 4 | 11/19/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shonah Yvette Turner | 4291415 | 3 | 04/01/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |