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 |
|---|---|---|---|---|---|---|---|---|
| Shirley Bachman | 6229306 | 1 | 02/19/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Parker Lenamon | 6822384 | 1 | 02/05/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Barry Canter | 2644093 | 2 | 11/15/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Robert T Ventour | 2573739 | 1 | 11/05/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Barry Canter | 2644093 | 2 | 10/11/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Conrad Joseph Bailey | 4661921 | 2 | 08/14/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Coley | 6086556 | 2 | 07/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shonah Yvette Turner | 4291415 | 3 | 07/16/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lakisha Marie Picott | 4250141 | 1 | 07/08/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Matthew Coley | 6086556 | 2 | 06/05/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |