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 |
|---|---|---|---|---|---|---|---|---|
| Colin Christy Kelty | 5859007 | 4 | 05/15/2024 | Customer Dispute | Pending | $1,567,400.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 05/15/2024 | Customer Dispute | Settled | $55,000.00 | $0.00 | See FINRA Report |
| Jonathan Paul Delo | 2599600 | 2 | 05/15/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jonathan Paul Delo | 2599600 | 2 | 05/15/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mitchell Darrin Daley | 2733915 | 1 | 05/07/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Raul Mendez | 3244412 | 3 | 05/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 04/25/2024 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 04/25/2024 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 04/23/2024 | Customer Dispute | Settled | $565,254.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 04/22/2024 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |