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 |
|---|---|---|---|---|---|---|---|---|
| Denise Marcia Knight | 2734133 | 1 | 03/28/2007 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Jared Kellenberger | 6016290 | 2 | 02/07/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Keith Yarkin | 1259931 | 3 | 08/16/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Barbara Ann Koontz | 1487389 | 3 | 07/05/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Carmine J Lacognata | 1889505 | 3 | 03/27/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Keith Yarkin | 1259931 | 3 | 12/23/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Leonard Daniel Gilroy-Solano | 4792612 | 1 | 12/12/2005 | Customer Dispute | Settled | $9,031.45 | $0.00 | See FINRA Report |
| Paul Michael Weinberger | 2757427 | 6 | 05/11/2005 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Robbie Lynn Ellsbury | 4654361 | 1 | 02/16/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert John Lange | 6001248 | 1 | 01/31/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |