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 |
|---|---|---|---|---|---|---|---|---|
| Ann Marie Doty-Mitchell | 1083322 | 1 | 10/01/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Richard Dearden | 1368874 | 2 | 11/01/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |