Search for: "Cetera Investment Services LLC"
Results 1 - 20
of 68
Sorted by Relevance
|
Sort by Date
30 May 2018, 1:05 pm
Truitt Ficklin, a former financial advisor with Cetera Investment Services, LLC, is barred from association with any FINRA member in any capacity. [read post]
15 Jun 2021, 7:43 am
Continue reading The post Broker Jimmie Darrel Summers, Formerly with Cetera Investment Services LLC, Suspended by FINRA – Tulsa, OK appeared first on Securities Arbitration Lawyer Blog. [read post]
6 Dec 2021, 9:48 am
A Claimant is Requesting Up to $5M in Damages For Northstar (Bermuda) Losses An older investor has filed a FINRA arbitration claim over losses she sustained in Northstar Financial Services (Bermuda) while working with Cetera Investment Services, LLC. [read post]
15 Nov 2017, 6:48 am
Are you concerned about your investment losses with Cetera Investment Services LLC? [read post]
26 Oct 2020, 7:42 am
Stanley Secor (Stanley Bernard Secor CRD:#1982414) is a former registered broker and investment advisor whose last employer was Cetera Advisor Networks LLC (CRD# 13572) of Salt Lake City, UT. [read post]
5 May 2020, 12:08 pm
Previous employment included Suntrust Investment Services, Inc. from December 2012 to June 2015 and Fifth Third Securities, Inc. from May 2009 to December 2012. [read post]
31 Aug 2021, 11:38 am
The eight firms, which have agreed to settle the charges, are: Cetera Advisor Networks LLC, Cetera Investment Services LLC, Cetera Financial Specialists LLC, Cetera Advisors LLC, and Cetera Investment Advisers LLC (collectively, the Cetera Entities); Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. [read post]
14 Sep 2020, 1:43 pm
Victor Rigoni, III is a former registered broker and investment advisor whose last known employer was Cetera Advisor Networks LLC (CRD#:13572) of Lake Forest, IL. [read post]
1 Sep 2023, 6:44 am
In a previous disclosure in Saw’s FINRA record, Saw took voluntary resignation from her employment with Cetera Investment Services on 5/31/21. [read post]
7 Jan 2020, 6:59 am
Prior to his time at Lifemark Securities in Peoria Illinois, Carver was registered with Cetera Advisors LLC, Brewer Financial Services, LLC (a firm that has since been expelled), LPL Financial Corporation, Robert W. [read post]
4 Jun 2018, 12:37 pm
Cetera Advisors, LLC and Merhoff neither admitted nor denied the allegations. [read post]
11 Mar 2022, 12:52 pm
East West Bank had signed a partnership agreement with Cetera Investment Services, LLC. [read post]
26 Aug 2018, 7:59 pm
Meantime, the defendants, BlackRock Investment Management LLC, BlackRock Advisors LLC, and BlackRock International Ltd. maintain that there was just cause for the fees, which they claim are lower than the industry’s’ median fees for such services, including the services of securities valuation, portfolio management, record keeping, and others. [read post]
17 Dec 2019, 1:46 pm
Advisor Robert Burns (Burns), currently employed by Cetera Advisor Networks LLC (Cetera Advisor) has been subject to at least two customer complaints during the course of his career. [read post]
24 Aug 2018, 9:10 am
The securities attorneys at Gana Weinstein LLP are currently investigating Cetera Advisor Networks LLC (Cetera Advisor) broker Jaret Mutter (Mutter). [read post]
20 May 2022, 8:18 am
East West Bank referred her to a financial adviser who worked for Cetera Investment Services LLC. [read post]
23 Aug 2017, 11:55 am
The five firms are: Cetera Investment Services, Cetera Financial Specialists, First Allied Securities Inc., Summit Brokerage Services Inc., and Girard Securities Inc. [read post]
9 Sep 2015, 6:17 am
The Financial Industry Regulatory Authority (FINRA) barred former Cetera Advisors LLC (Cetera) broker Bruce Sabourin (Sabourin) after the broker failed to respond to a letter from the regulator requesting information. [read post]
10 Aug 2020, 2:24 pm
Before working for Cetera Advisors LLC (CRD# 10299) starting in 2012, McKinney was previously registered with Securian Financial Services, Inc. [read post]
21 Apr 2016, 11:12 am
It is of note that the restructured Cetera Financial Group will have no relationship with former nontraded real estate “investment trust czar” Nicholas Schorsch or his partners. [read post]
