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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth John Apking | 2721463 | 1 | 07/01/2004 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Jelani Ptah | 1811901 | 1 | 10/12/2003 | Customer Dispute | Denied | $5,754.00 | $0.00 | See FINRA Report |
| Katherine Jeanette Cathcart | 2343349 | 1 | 04/22/2003 | Customer Dispute | Denied | $90,000.00 | $0.00 | See FINRA Report |
| Jason Tyler Wilson | 2414383 | 4 | 08/06/2002 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Edward Mezzacappa | 2343104 | 2 | 12/05/2000 | Customer Dispute | Denied | $11,609.00 | $0.00 | See FINRA Report |
| James Peter Maugeri | 4010064 | 1 | 11/01/2000 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kerry Lynn Kinter | 2587650 | 1 | 07/07/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Adnan Hamid Hussain | 2021482 | 1 | 04/14/1999 | Customer Dispute | Denied | $31,000.00 | $0.00 | See FINRA Report |