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 |
|---|---|---|---|---|---|---|---|---|
| Laura Christine Franklin | 6518573 | 4 | 02/29/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| William Charles Schumann | 1604894 | 5 | 01/05/2024 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Guadalupe Amanonce | 2691344 | 1 | 04/25/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Ronald Goldberg | 822091 | 1 | 02/20/2020 | Customer Dispute | Pending | $218,476.00 | $0.00 | See FINRA Report |
| Lakisha Marie Picott | 4250141 | 1 | 07/08/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Darla Faith Meyer | 6341035 | 1 | 07/31/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |