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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Anthony Miceli | 2100678 | 1 | 03/14/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tami Lee | 7065641 | 1 | 09/19/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Dickerson | 7712701 | 1 | 09/14/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Michael Levine | 2887884 | 1 | 07/13/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shonah Yvette Turner | 4291415 | 3 | 02/02/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jose Alberto Lopez | 5308923 | 1 | 11/30/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric Todd Stuckey | 2445666 | 10 | 10/18/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert W Hammel | 5267010 | 1 | 07/20/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shonah Yvette Turner | 4291415 | 3 | 04/01/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nichole Marie Kircher | 2876887 | 6 | 03/23/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |