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 |
|---|---|---|---|---|---|---|---|---|
| Paul Victor Clough | 4557997 | 1 | 11/17/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Vahe Stepanian | 5688161 | 1 | 11/07/2014 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |
| Mildred L Marulanda | 5853247 | 1 | 10/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kathleen Margaret Peake | 4485099 | 1 | 10/29/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin James Larson | 3067781 | 2 | 10/10/2014 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| David Scott Rossler | 2962399 | 1 | 09/05/2014 | Customer Dispute | Denied | $17,400.00 | $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 |
| Eric Todd Stuckey | 2445666 | 10 | 02/20/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sheldon R Bender | 1325415 | 10 | 02/12/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Carroll Marie Adele Dannettell | 4871385 | 1 | 11/20/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |