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 |
|---|---|---|---|---|---|---|---|---|
| David William Sosa | 6725101 | 2 | 09/06/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Stephen Richard Smith | 2632131 | 1 | 08/22/2024 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 08/19/2024 | Customer Dispute | Pending | $591,037.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 08/01/2024 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| Andrew Spiro Pandis | 2928410 | 4 | 06/11/2024 | Customer Dispute | Pending | $450,000.00 | $0.00 | See FINRA Report |
| Dennis Everett Herrera | 4772997 | 1 | 05/30/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Colin Christy Kelty | 5859007 | 4 | 05/15/2024 | Customer Dispute | Pending | $1,567,400.00 | $0.00 | See FINRA Report |
| Raul Mendez | 3244412 | 3 | 05/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Anson Kau Cheong | 7118738 | 1 | 03/12/2024 | Customer Dispute | Pending | $1,054,760.00 | $0.00 | See FINRA Report |
| Laura Christine Franklin | 6518573 | 4 | 02/29/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |