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 |
|---|---|---|---|---|---|---|---|---|
| Christian Filiaggi | 5148477 | 2 | 06/30/2010 | 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 | 1 | 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 |
| Avram Greenberg | 4884286 | 1 | 07/12/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Cullen Thomasson | 6585581 | 1 | 11/27/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christian Filiaggi | 5148477 | 2 | 04/10/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |