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 |
|---|---|---|---|---|---|---|---|---|
| Nichole Marie Kircher | 2876887 | 6 | 03/23/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ross H Klafter | 5523771 | 4 | 09/17/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Roy Payo | 2295275 | 1 | 08/03/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Nathan Cohen | 5083883 | 3 | 12/04/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Raul Mendez | 3244412 | 3 | 09/26/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian John Mallon | 2227468 | 2 | 08/22/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shonah Yvette Turner | 4291415 | 3 | 07/16/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ross H Klafter | 5523771 | 4 | 06/06/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Landon John Vath | 1310774 | 3 | 04/22/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nicholas C McMahan | 5578896 | 4 | 03/26/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |