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 |
|---|---|---|---|---|---|---|---|---|
| William Edward Hutchingson | 2131647 | 2 | 11/27/2023 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Fei Yi Wang | 5899211 | 2 | 09/26/2023 | Customer Dispute | Pending | $75,000.00 | $0.00 | See FINRA Report |
| Andrew Spiro Pandis | 2928410 | 4 | 08/16/2023 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| Colin Christy Kelty | 5859007 | 4 | 07/05/2023 | Customer Dispute | Pending | $240,000.00 | $0.00 | See FINRA Report |
| Trey Andrew Toifel | 5830403 | 2 | 06/21/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Juan Rascon | 5631144 | 3 | 05/18/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Weina Hou | 5901613 | 1 | 05/06/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Howard Hao-Chung Hsieh | 4947882 | 5 | 10/08/2021 | Customer Dispute | Pending | $750,000.00 | $0.00 | See FINRA Report |
| Guadalupe Amanonce | 2691344 | 1 | 04/25/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Lakisha Marie Picott | 4250141 | 1 | 07/08/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |