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 |
|---|---|---|---|---|---|---|---|---|
| Kyong H Kim | 2510032 | 1 | 08/25/2015 | Customer Dispute | Award / Judgment | $25,791.80 | $0.00 | See FINRA Report |
| Shelley Ann Stevens | 2064641 | 2 | 01/06/2012 | Customer Dispute | Award / Judgment | $22,000.00 | $44,565.20 | See FINRA Report |
| David Lawrence Dosik | 1978544 | 3 | 04/22/2002 | Customer Dispute | Award / Judgment | $80,000.00 | $45,000.00 | See FINRA Report |