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 |
|---|---|---|---|---|---|---|---|---|
| Todd Alan Cline | 2980491 | 1 | 01/11/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Amy Lucille Oliver | 1512173 | 1 | 03/10/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Terence Dean Evavold | 2589095 | 2 | 02/21/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Darren Mark Howcroft | 3052682 | 3 | 10/22/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Darren Mark Howcroft | 3052682 | 3 | 01/04/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Atkinson | 1453374 | 1 | 09/22/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Norman Zirbel | 1031111 | 4 | 02/12/1982 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Norman Zirbel | 1031111 | 4 | 01/06/1982 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Deena J Espinosa | 2418601 | 1 | 12/05/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeanette Colby | 6774569 | 1 | 11/10/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |