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 |
|---|---|---|---|---|---|---|---|---|
| Lisa Mischele Guillory | 2119094 | 1 | 03/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cheri Deann Arthur | 5930307 | 2 | 02/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cheri Deann Arthur | 5930307 | 2 | 02/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Nejfelt | 5598679 | 2 | 01/26/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patricia Almedia Smalls | 2129707 | 1 | 10/26/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd J Mulholland | 5468115 | 3 | 07/14/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd J Mulholland | 5468115 | 3 | 05/04/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Suzanne Kent | 1105799 | 2 | 03/31/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Dean Lewis | 4201957 | 1 | 02/27/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Glen Alan Berngard | 2119414 | 1 | 02/23/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |