Search for: "Cetera Investment Services LLC"
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5 Jun 2020, 1:52 am
According to Kolta’s Brokercheck report, on March 24, 2020 a customer filed a complaint against Kolta’s former broker-dealers Cetera Advisors LLC and National Securities Corporation. [read post]
5 Jun 2020, 1:52 am
According to Kolta’s Brokercheck report, on March 24, 2020 a customer filed a complaint against Kolta’s former broker-dealers Cetera Advisors LLC and National Securities Corporation. [read post]
8 Nov 2018, 6:52 am
Mark Kolta was also registered with the following firms, FINRA notes: • Aegis Capital Corp. from June 8, 2017 until February 20, 2018, New York, NY • National Securities Corporation from September 12, 2013 until June 2, 2017, New York, NY • Cetera Advisors LLC from November 25, 2011 until September 27, 2013, New York, NY • Chase Investment Services Corp. from April 30, 2008 until December 16, 2011, New York, NY Finally, it is important to not… [read post]
1 Aug 2023, 11:44 am
(CRD#:1027), Rio Rancho, NMB, 01/08/2002 – 05/01/2015, CETERA ADVISOR NETWORKS LLC (CRD#:13572), RIO RANCHO, NM Billy Stanage’s BrokerCheck record indicates one customer complaint has been filed against him on June 26, 2023. [read post]
3 Dec 2021, 1:29 pm
Her previous employers include Wells Fargo Clearing Services, LLC, CRD 19616, of Tampa, FL, Cetera Investment Services, (CRD#:15340) of Newport Richey, Florida, and Wells Fargo Advisors, LLC (CRD#: 19616) of Ellenton, Florida. [read post]
19 Apr 2023, 11:50 am
(CRD#:3866), Seattle, WA B, 02/28/2012 – 04/25/2018, CETERA ADVISORS LLC (CRD#:10299), SEATTLE, WA B, 05/24/2006 – 02/28/2012, PACIFIC WEST SECURITIES, INC. [read post]
12 Nov 2020, 7:24 am
” Visa allegedly based its decision to blacklist MNG on a report from G2 Web Services LLC, a company Visa hires to monitor potentially reputation-damaging transactions. [read post]
