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 |
|---|---|---|---|---|---|---|---|---|
| Joshua Aaron Green | 4970616 | 2 | 06/14/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Carrie Renee Gobin | 6218373 | 2 | 06/08/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Clark Owen | 6096730 | 2 | 06/03/2022 | Customer Dispute | Pending | $114,000.00 | $0.00 | See FINRA Report |
| Jonathan Eugene Anderson | 5211270 | 1 | 06/01/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Farol Caringal | 6413276 | 1 | 06/01/2022 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |
| Ivan Ji Cen | 5474263 | 3 | 05/25/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Weina Hou | 5901613 | 1 | 05/06/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Chang Jen Vung | 5347816 | 3 | 05/06/2022 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Kenneth C Kondas | 2882129 | 1 | 05/03/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Leo Li-Yuan Chien | 4169619 | 4 | 04/22/2022 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |