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| Francisco Javier Fernandez Leon | 5648271 | 7 | 11/15/2018 | Customer Dispute | Withdrawn | $200,000.00 | $0.00 | See FINRA Report |
| David Gulyamov | 5049773 | 4 | 08/24/2015 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Stephen Craig Johnson | 1445785 | 2 | 06/15/2011 | Customer Dispute | Withdrawn | $5,200.00 | $0.00 | See FINRA Report |
| Joshua Howard Probeyahn | 4495749 | 1 | 03/07/2005 | Customer Dispute | Withdrawn | $5,262.66 | $0.00 | See FINRA Report |