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 |
|---|---|---|---|---|---|---|---|---|
| Nichole Marie Kircher | 2876887 | 6 | 09/29/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ann A Merkley | 2392959 | 2 | 09/23/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nichole Marie Kircher | 2876887 | 6 | 07/12/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Paul Michael Weinberger | 2757427 | 6 | 07/06/2010 | Customer Dispute | Settled | $12,520.30 | $0.00 | See FINRA Report |
| Christian Filiaggi | 5148477 | 2 | 06/30/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ann A Merkley | 2392959 | 2 | 06/23/2010 | Customer Dispute | Denied | $218,180.00 | $0.00 | See FINRA Report |
| Nichole Marie Kircher | 2876887 | 6 | 04/30/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Melissa Ann Mayer | 3110431 | 1 | 04/20/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Paul Michael Weinberger | 2757427 | 6 | 02/12/2010 | Customer Dispute | Settled | $9,825.00 | $0.00 | See FINRA Report |
| Lawrence John Vandrunen | 2761033 | 1 | 01/20/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |