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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Michael Antos | 1857829 | 1 | 10/13/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Vernon Demertris Carter | 5863417 | 3 | 03/31/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Charles Schumann | 1604894 | 5 | 12/23/2016 | Customer Dispute | Settled | $63,000.00 | $0.00 | See FINRA Report |
| Eric Todd Stuckey | 2445666 | 10 | 06/09/2016 | Customer Dispute | Settled | $42,835.00 | $0.00 | See FINRA Report |
| Kevin James Larson | 3067781 | 2 | 05/16/2016 | Customer Dispute | Settled | $315,000.00 | $0.00 | See FINRA Report |
| William Charles Schumann | 1604894 | 5 | 05/09/2016 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Jessica Kramser King | 5613982 | 1 | 02/24/2016 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Shelly Ann Trytek Terzolo | 4589751 | 1 | 12/28/2015 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Gregory Powell | 1217415 | 1 | 11/16/2015 | Customer Dispute | Settled | $2,015,000.00 | $0.00 | See FINRA Report |
| Roy Paul Niggebrugge | 3089780 | 2 | 11/14/2015 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |