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 |
|---|---|---|---|---|---|---|---|---|
| Vernon Demertris Carter | 5863417 | 3 | 06/27/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Lawrence Spielman | 2503634 | 1 | 06/23/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Glen Alan Berngard | 2119414 | 1 | 02/23/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Barbara Ann Koontz | 1487389 | 3 | 09/24/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Emilio Joseph Senesi | 1057937 | 1 | 09/11/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Veronica Cordova | 3043875 | 2 | 10/15/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Lawrence Dosik | 1978544 | 3 | 01/03/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Leroy Leslie Franck | 2354310 | 3 | 10/01/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth John Kolnicki | 1377627 | 1 | 04/03/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Seth Cohen | 2635360 | 1 | 04/01/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |