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 |
|---|---|---|---|---|---|---|---|---|
| Catharine Ann Dombrowski | 4694992 | 2 | 07/08/2008 | Customer Dispute | Closed-No Action | $6,061.00 | $0.00 | See FINRA Report |
| Jason Tyler Wilson | 2414383 | 4 | 12/24/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carmine J Lacognata | 1889505 | 3 | 04/19/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Denise Marcia Knight | 2734133 | 1 | 03/28/2007 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Carmine J Lacognata | 1889505 | 3 | 03/27/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Leonard Daniel Gilroy-Solano | 4792612 | 1 | 12/12/2005 | Customer Dispute | Settled | $9,031.45 | $0.00 | See FINRA Report |
| Paul Michael Weinberger | 2757427 | 6 | 05/11/2005 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Pamela Lavon Treadwell | 1688119 | 1 | 12/16/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth John Apking | 2721463 | 1 | 07/01/2004 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Robert Charles Batick | 2192524 | 2 | 04/20/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |