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 |
|---|---|---|---|---|---|---|---|---|
| Jay Lynn Salonen | 6006365 | 1 | 07/11/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Carl Stead | 1058461 | 1 | 03/23/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anne Theresa Dunne | 1015144 | 2 | 08/14/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anne Theresa Dunne | 1015144 | 2 | 08/14/1991 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Jose Luis Rodriguez | 2105127 | 1 | 04/18/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Salvatore Guerrieri | 1688261 | 2 | 08/31/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Salvatore Guerrieri | 1688261 | 2 | 01/29/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Craig Robert Dindinger | 2708092 | 1 | 12/16/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Tarantino | 1268379 | 7 | 05/22/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Bruce Lamensdorf | 4211684 | 1 | 03/15/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |