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 |
|---|---|---|---|---|---|---|---|---|
| Pamela Lavon Treadwell | 1688119 | 1 | 12/16/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Veronica Cordova | 3043875 | 2 | 10/15/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth John Apking | 2721463 | 1 | 07/01/2004 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Veronica Cordova | 3043875 | 2 | 04/26/2004 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Robert Charles Batick | 2192524 | 2 | 04/20/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Richard Dearden | 1368874 | 2 | 02/26/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Paul Michael Weinberger | 2757427 | 6 | 01/08/2004 | Customer Dispute | Settled | $5,700.00 | $0.00 | See FINRA Report |
| Jeffrey Andrew Lovas | 2156033 | 1 | 01/01/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Todd Ernst | 5574918 | 1 | 12/12/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jelani Ptah | 1811901 | 1 | 10/12/2003 | Customer Dispute | Denied | $5,754.00 | $0.00 | See FINRA Report |