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 |
|---|---|---|---|---|---|---|---|---|
| Thomas David Brunt | 6540520 | 1 | 10/26/2022 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Warren G Rogers II | 4599841 | 1 | 10/13/2022 | Customer Dispute | Settled | $23,500.00 | $0.00 | See FINRA Report |
| Adrian D Holmes | 6560799 | 1 | 10/13/2022 | Customer Dispute | Settled | $8,199.00 | $0.00 | See FINRA Report |
| Howard Graham Jones | 1963785 | 2 | 09/29/2022 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 09/14/2022 | Customer Dispute | Settled | $16,018.80 | $0.00 | See FINRA Report |
| Mei Xia Guo | 4201624 | 2 | 07/15/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Howard Hao-Chung Hsieh | 4947882 | 5 | 06/14/2022 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Joshua Aaron Green | 4970616 | 3 | 06/14/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Chang Jen Vung | 5347816 | 3 | 05/06/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Jason Bryce Covington | 4303657 | 2 | 04/27/2022 | Customer Dispute | Settled | $12,256.00 | $0.00 | See FINRA Report |