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 |
|---|---|---|---|---|---|---|---|---|
| Jose Alberto Lopez | 5308923 | 1 | 11/30/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nicholas John Casagrande | 4288486 | 1 | 11/18/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Angelei Yamsuan Liongson | 2507652 | 1 | 10/31/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Todd Stuckey | 2445666 | 10 | 10/18/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Cosmo Ciocia | 1619245 | 2 | 09/23/2021 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Robert W Hammel | 5267010 | 1 | 07/20/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Laura Christine Franklin | 6518573 | 4 | 05/13/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shonah Yvette Turner | 4291415 | 3 | 04/01/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nichole Marie Kircher | 2876887 | 6 | 03/23/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric Todd Stuckey | 2445666 | 10 | 03/16/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |