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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Michael Antos | 1857829 | 1 | 10/13/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Charles Schumann | 1604894 | 5 | 12/23/2016 | Customer Dispute | Settled | $63,000.00 | $0.00 | See FINRA Report |
| Eric Todd Stuckey | 2445666 | 10 | 06/09/2016 | Customer Dispute | Settled | $42,835.00 | $0.00 | See FINRA Report |
| Kevin James Larson | 3067781 | 2 | 05/16/2016 | Customer Dispute | Settled | $315,000.00 | $0.00 | See FINRA Report |
| Gregory Powell | 1217415 | 1 | 11/16/2015 | Customer Dispute | Settled | $2,015,000.00 | $0.00 | See FINRA Report |
| Albert Roy Leger | 2362902 | 1 | 06/09/2015 | Customer Dispute | Settled | $23,406.70 | $0.00 | See FINRA Report |
| Kevin James Larson | 3067781 | 2 | 10/10/2014 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Scott Allen van de Ven | 5874088 | 1 | 07/25/2014 | Customer Dispute | Settled | $64,745.00 | $0.00 | See FINRA Report |
| Donald Lee McDonald | 2475170 | 1 | 09/09/2013 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| David C Wilson | 2378267 | 1 | 01/31/2012 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |