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 |
|---|---|---|---|---|---|---|---|---|
| Benjamin Thomas Ross | 5071974 | 1 | 12/05/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shannon Lee Otterbeck | 4243413 | 1 | 11/09/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shawn Shaughnessy | 6202830 | 2 | 09/29/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward William Adams | 1307441 | 1 | 08/18/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Vernon Demertris Carter | 5863417 | 3 | 07/16/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Drew Jonathan Prescott | 4986993 | 1 | 06/06/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Steven Mistretta | 5482267 | 1 | 04/12/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Alan Griffith | 3111402 | 1 | 08/04/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lakisha Kawon Brown | 5831038 | 1 | 11/28/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dariusz A Caputa | 3127239 | 1 | 09/01/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |