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 |
|---|---|---|---|---|---|---|---|---|
| Lindsey Hall | 5625944 | 1 | 04/10/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Barry Dlanor Green | 2265464 | 1 | 03/10/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven James Mayo | 2899829 | 2 | 03/02/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shirley Bachman | 6229306 | 1 | 02/19/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Conrad Joseph Bailey | 4661921 | 2 | 08/14/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Coley | 6086556 | 2 | 07/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Coley | 6086556 | 2 | 06/05/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Derek Popock | 2411594 | 1 | 01/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Christine Franklin | 6518573 | 4 | 11/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Charles Batick | 2192524 | 2 | 10/19/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |