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 |
|---|---|---|---|---|---|---|---|---|
| Clint Robert Verhagen | 4186717 | 1 | 08/18/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Catharine Ann Dombrowski | 4694992 | 2 | 07/08/2008 | Customer Dispute | Closed-No Action | $6,061.00 | $0.00 | See FINRA Report |
| Catharine Ann Dombrowski | 4694992 | 2 | 07/03/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Keith Yarkin | 1259931 | 3 | 06/27/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Tyler Wilson | 2414383 | 4 | 12/24/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Barbara Ann Koontz | 1487389 | 3 | 09/24/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jared Kellenberger | 6016290 | 2 | 09/13/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Emilio Joseph Senesi | 1057937 | 1 | 09/11/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Anthony Maddox | 4304442 | 1 | 08/04/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carmine J Lacognata | 1889505 | 3 | 04/19/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |