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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Seth Cohen | 2635360 | 1 | 04/01/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Martin Sullivan | 2592984 | 1 | 01/09/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Benjamin Thomas Ross | 5071974 | 1 | 12/05/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shannon Lee Otterbeck | 4243413 | 1 | 11/09/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shawn Shaughnessy | 6202830 | 2 | 09/29/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward William Adams | 1307441 | 1 | 08/18/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Vernon Demertris Carter | 5863417 | 3 | 07/16/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Drew Jonathan Prescott | 4986993 | 1 | 06/06/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Steven Mistretta | 5482267 | 1 | 04/12/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ann Marie Doty-Mitchell | 1083322 | 1 | 10/01/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |