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 |
|---|---|---|---|---|---|---|---|---|
| Laura Christine Franklin | 6518573 | 4 | 02/05/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sheldon R Bender | 1325415 | 10 | 11/24/2020 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Roy Payo | 2295275 | 1 | 08/03/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ronda L Pope | 4564751 | 1 | 05/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Guadalupe Amanonce | 2691344 | 1 | 04/25/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Lindsey Hall | 5625944 | 1 | 04/10/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Todd Stuckey | 2445666 | 10 | 03/24/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Barry Dlanor Green | 2265464 | 1 | 03/10/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven James Mayo | 2899829 | 2 | 03/02/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Goldberg | 822091 | 1 | 02/20/2020 | Customer Dispute | Pending | $218,476.00 | $0.00 | See FINRA Report |