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 |
|---|---|---|---|---|---|---|---|---|
| Francisco Javier Fernandez Leon | 5648271 | 7 | 06/19/2018 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| David Glen Roessner | 5568932 | 2 | 06/13/2018 | Customer Dispute | Settled | $21,654.60 | $0.00 | See FINRA Report |
| Francisco Javier Fernandez Leon | 5648271 | 7 | 04/24/2018 | Customer Dispute | Settled | $309,000.00 | $0.00 | See FINRA Report |
| Adam W Wood | 5227022 | 1 | 04/04/2018 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| David Glen Roessner | 5568932 | 2 | 02/14/2018 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Colin Christy Kelty | 5859007 | 4 | 09/05/2017 | Customer Dispute | Settled | $507,069.00 | $0.00 | See FINRA Report |
| Jared Michael Mire | 4758520 | 1 | 12/06/2016 | Customer Dispute | Settled | $24,356.30 | $0.00 | See FINRA Report |
| Keith Frederick France | 3273902 | 3 | 07/20/2016 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |
| David Gulyamov | 5049773 | 4 | 07/06/2016 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Carlos Rivas | 4429905 | 2 | 06/29/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |