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 |
|---|---|---|---|---|---|---|---|---|
| Steven Alan Griffith | 3111402 | 1 | 08/04/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Leroy Leslie Franck | 2354310 | 3 | 01/04/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lakisha Kawon Brown | 5831038 | 1 | 11/28/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Caren Lee Lawson | 1435442 | 1 | 11/03/1994 | Customer Dispute | Settled | $72,000.00 | $0.00 | See FINRA Report |
| Dariusz A Caputa | 3127239 | 1 | 09/01/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Hensey Alfonso Fenton | 2289721 | 1 | 06/05/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jose Luis Rodriguez | 2105127 | 1 | 04/18/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Craig Robert Dindinger | 2708092 | 1 | 12/16/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Conrad Joseph Bailey | 4661921 | 2 | 10/04/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Richard Dearden | 1368874 | 2 | 11/01/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |