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 |
|---|---|---|---|---|---|---|---|---|
| Kerry Lynn Kinter | 2587650 | 1 | 07/07/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Leroy Leslie Franck | 2354310 | 3 | 12/21/1999 | Customer Dispute | Settled | $163,565.00 | $0.00 | See FINRA Report |
| Matthew Cullen Thomasson | 6585581 | 1 | 11/27/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Adnan Hamid Hussain | 2021482 | 1 | 04/14/1999 | Customer Dispute | Denied | $31,000.00 | $0.00 | See FINRA Report |
| Terence Dean Evavold | 2589095 | 2 | 03/22/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Allen Christensen | 1379012 | 3 | 02/28/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Allen Christensen | 1379012 | 3 | 02/10/1999 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |
| Leroy Leslie Franck | 2354310 | 3 | 10/01/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christian Filiaggi | 5148477 | 2 | 04/10/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth John Kolnicki | 1377627 | 1 | 04/03/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |