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 |
|---|---|---|---|---|---|---|---|---|
| Amy Jill Kaufman | 1837595 | 7 | 09/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jill Kaufman | 1837595 | 7 | 08/23/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Darla Faith Meyer | 6341035 | 1 | 07/31/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Carmine J Lacognata | 1889505 | 3 | 07/12/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Keith Edward Hunter | 2038113 | 1 | 07/07/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vernon Demertris Carter | 5863417 | 3 | 03/31/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lisa Mischele Guillory | 2119094 | 1 | 03/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cheri Deann Arthur | 5930307 | 2 | 02/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cheri Deann Arthur | 5930307 | 2 | 02/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Owens Whittaker | 1836794 | 1 | 02/01/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |