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 |
|---|---|---|---|---|---|---|---|---|
| Robert Charles Batick | 2192524 | 2 | 10/19/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Aimee L Anzai | 5793462 | 1 | 08/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Lionel Blais | 6496691 | 1 | 08/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jill Kaufman | 1837595 | 7 | 03/22/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Nejfelt | 5598679 | 2 | 03/08/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jill Kaufman | 1837595 | 7 | 12/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kyle Paul Bateman | 6473696 | 1 | 11/04/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jahangir Ali Sultan | 4188015 | 1 | 10/16/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jill Kaufman | 1837595 | 7 | 09/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jill Kaufman | 1837595 | 7 | 08/23/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |