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 |
|---|---|---|---|---|---|---|---|---|
| Mark Elliott Backes | 4102325 | 1 | 07/18/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Jay Anastasia | 2354039 | 2 | 06/30/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph St. Pierre | 1760408 | 7 | 12/16/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Tarantino | 1268379 | 7 | 06/23/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Tarantino | 1268379 | 7 | 09/02/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Tarantino | 1268379 | 7 | 04/10/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ira Leslie Aguado | 1706754 | 4 | 03/24/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Tarantino | 1268379 | 7 | 03/12/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ann Marie Doty-Mitchell | 1083322 | 1 | 10/01/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Carl Stead | 1058461 | 1 | 03/23/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |