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 |
|---|---|---|---|---|---|---|---|---|
| Ashley McNeely | 6197552 | 1 | 02/26/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Chase Andrew Gauthier | 6764929 | 1 | 05/30/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christian Filiaggi | 5148477 | 2 | 06/30/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eric John Henry | 5842896 | 1 | 10/03/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter Anthony Maddox | 4304442 | 1 | 08/04/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Keith Yarkin | 1259931 | 3 | 12/23/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Todd Ernst | 5574918 | 1 | 12/12/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kimberlee A. Conte | 5443221 | 1 | 07/17/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anne Summers | 2591409 | 2 | 12/30/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shawn Shaughnessy | 6202830 | 2 | 01/15/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |