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 |
|---|---|---|---|---|---|---|---|---|
| Frank Richard Nickey | 4287405 | 2 | 07/21/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 07/02/2020 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Francisco Javier Fernandez Leon | 5648271 | 7 | 01/24/2020 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Francisco Javier Fernandez Leon | 5648271 | 7 | 10/07/2019 | Customer Dispute | Settled | $43,000.00 | $0.00 | See FINRA Report |
| Francisco Javier Fernandez Leon | 5648271 | 7 | 10/07/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Kerry Gerow Farley | 1560826 | 1 | 01/15/2019 | Customer Dispute | Settled | $41,530.00 | $0.00 | See FINRA Report |
| Richard Thomas Ragold | 1808168 | 2 | 01/07/2019 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Chang Jen Vung | 5347816 | 3 | 01/02/2019 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Francisco Javier Fernandez Leon | 5648271 | 7 | 09/20/2018 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Javier Enrique Pascual Imbert | 2789824 | 1 | 08/22/2018 | Customer Dispute | Settled | $1,550,000.00 | $0.00 | See FINRA Report |