According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raul Mendez (Mendez), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mendez recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Colin Kelty (Kelty), previously associated with Cetera Investment Services LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kelty recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Herrera (Herrera), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Herrera recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Catherine Bradford (Bradford), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bradford recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Siria (Siria), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Siria recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Chow (Chow), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chow recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ivan Cen (Cen), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cen recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Howard Hsieh (Hsieh), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hsieh recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Smith (Smith), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cindy Mo (Mo), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mo recommended unsuitable investments in different investment products including debt securities among other…
