Our Staff has compiled our research into a database of FINRA Broker Disclosures for Cetera Financial Specialists 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 |
|---|---|---|---|---|---|---|---|---|
| Paul Michael Weinberger | 2757427 | 6 | 04/02/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Anthony Miceli | 2100678 | 1 | 03/14/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Laura Christine Franklin | 6518573 | 4 | 02/29/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| William Charles Schumann | 1604894 | 5 | 01/05/2024 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Artiz Demetrius Stroud | 5362366 | 1 | 12/16/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jill Kaufman | 1837595 | 7 | 10/16/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tami Lee | 7065641 | 1 | 09/19/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Dickerson | 7712701 | 1 | 09/14/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Vernon Demertris Carter | 5863417 | 3 | 06/27/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan Le Beau | 7214224 | 2 | 04/20/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |