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 |
|---|---|---|---|---|---|---|---|---|
| Gregory Dean Lewis | 4201957 | 1 | 02/27/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jessica Kramser King | 5613982 | 1 | 02/24/2016 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Glen Alan Berngard | 2119414 | 1 | 02/23/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jill Kaufman | 1837595 | 7 | 12/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jill Kaufman | 1837595 | 7 | 12/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shelly Ann Trytek Terzolo | 4589751 | 1 | 12/28/2015 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Gregory Powell | 1217415 | 1 | 11/16/2015 | Customer Dispute | Settled | $2,015,000.00 | $0.00 | See FINRA Report |
| Roy Paul Niggebrugge | 3089780 | 2 | 11/14/2015 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Sherry Lynn Brooker | 4373659 | 1 | 10/29/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Randall Robert Murphy | 5109573 | 1 | 09/22/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |