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 |
|---|---|---|---|---|---|---|---|---|
| Franklyn Clay Simmons | 4715405 | 1 | 04/14/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael King Miller | 1633123 | 2 | 09/24/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Pamela Joelle Soult | 4510465 | 1 | 06/24/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Donna Jean McElwain | 6734141 | 1 | 04/12/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael King Miller | 1633123 | 2 | 07/11/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jacquelyn Marie Williams | 2957923 | 1 | 11/30/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nichole Marie Kircher | 2876887 | 6 | 11/03/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dustin Ellis Woodham | 5373780 | 1 | 09/14/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Landon John Vath | 1310774 | 3 | 08/22/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nichole Marie Kircher | 2876887 | 6 | 07/27/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |