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 |
|---|---|---|---|---|---|---|---|---|
| Amy Jill Kaufman | 1837595 | 7 | 12/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jill Kaufman | 1837595 | 7 | 12/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sherry Lynn Brooker | 4373659 | 1 | 10/29/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carl King | 6555444 | 1 | 06/03/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Suzanne Kent | 1105799 | 2 | 05/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd J Mulholland | 5468115 | 3 | 01/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Betsy Ann Abney | 2677004 | 2 | 12/31/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mildred L Marulanda | 5853247 | 1 | 10/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kathleen Margaret Peake | 4485099 | 1 | 10/29/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Barbara Ann Koontz | 1487389 | 3 | 09/24/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |