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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| 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 |
| Kenneth Lawrence Spielman | 2503634 | 1 | 06/23/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan Le Beau | 7214224 | 2 | 02/09/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Angelei Yamsuan Liongson | 2507652 | 1 | 10/31/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Christine Franklin | 6518573 | 4 | 05/13/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Christine Franklin | 6518573 | 4 | 02/05/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ronda L Pope | 4564751 | 1 | 05/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |