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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Anne Theresa Dunne | 1015144 | 2 | 08/14/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Salvatore Guerrieri | 1688261 | 2 | 08/31/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Tarantino | 1268379 | 7 | 05/22/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Norman Zirbel | 1031111 | 4 | 01/06/1982 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |