WILLIAM DE CARDENAS

WILLIAM DE CARDENAS is currently employed as a Broker and/or Investment Adviser at CETERA INVESTMENT SERVICES LLC located at 6205 BLUE LAGOON SUITE 100, MIAMI, FL, 33126.

WILLIAM DE CARDENAS has worked at CETERA INVESTMENT SERVICES LLC since August 01, 2015

Disclosure History

WILLIAM DE CARDENAS has 1 Disclosure Event(s).

Date: March 07, 2013
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT THE REPRESENTATIVE LIED TO THEM ABOUT THE INVESTMENT AND MANIPULATED THEM.
Damage Amount Requested: $20,323.73
Broker Comment: I, WILLIAM DE CARDENAS, DENY ALLEGATIONS.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for WILLIAM DE CARDENAS, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.