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 |
|---|---|---|---|---|---|---|---|---|
| Raul Mendez | 3244412 | 3 | 03/14/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lamont McIntosh | 6281230 | 4 | 09/05/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Virginia Santos | 5460816 | 1 | 12/21/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Nathan Cohen | 5083883 | 3 | 06/05/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Calvin Eugene Nelson | 6296655 | 2 | 04/27/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Calvin Eugene Nelson | 6296655 | 2 | 01/03/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ross H Klafter | 5523771 | 4 | 09/16/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Landon John Vath | 1310774 | 3 | 07/08/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kurt Ebel | 5420612 | 2 | 12/10/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kurt Ebel | 5420612 | 2 | 11/25/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |