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 |
|---|---|---|---|---|---|---|---|---|
| Tablo Rodriguez Wright | 5907914 | 2 | 07/27/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Hugh Scott Mann | 1136408 | 1 | 12/01/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Betsy Ann Abney | 2677004 | 2 | 10/07/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nichole Marie Kircher | 2876887 | 6 | 09/29/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nakia Sangria Franklin | 4857227 | 1 | 09/03/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nichole Marie Kircher | 2876887 | 6 | 07/12/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nichole Marie Kircher | 2876887 | 6 | 04/30/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Melissa Ann Mayer | 3110431 | 1 | 04/20/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Quinton Green | 5556700 | 1 | 01/14/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nicholas Agostino | 5166683 | 2 | 10/01/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |