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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Paul Burkott | 4710068 | 2 | 04/03/2023 | Customer Dispute | Settled | $499,999.00 | $0.00 | See FINRA Report |
| Daniel Paul Burkott | 4710068 | 2 | 04/03/2023 | Customer Dispute | Settled | $489,898.00 | $0.00 | See FINRA Report |
| William Charles Schumann | 1604894 | 5 | 12/07/2022 | Customer Dispute | Denied | $160,000.00 | $0.00 | See FINRA Report |
| Rachel Elinor Lauber | 3027895 | 1 | 08/10/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David Michael Levine | 2887884 | 1 | 07/13/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Lawrence Spielman | 2503634 | 1 | 06/23/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Cosmo Ciocia | 1619245 | 2 | 05/19/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Kenneth C Kondas | 2882129 | 1 | 05/03/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bryan Le Beau | 7214224 | 2 | 02/09/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shonah Yvette Turner | 4291415 | 3 | 02/02/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |