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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Nejfelt | 5598679 | 2 | 01/26/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Charles Schumann | 1604894 | 5 | 12/23/2016 | Customer Dispute | Settled | $63,000.00 | $0.00 | See FINRA Report |
| Sheldon R Bender | 1325415 | 10 | 12/06/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patricia Almedia Smalls | 2129707 | 1 | 10/26/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd J Mulholland | 5468115 | 3 | 07/14/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Todd Stuckey | 2445666 | 10 | 06/09/2016 | Customer Dispute | Settled | $42,835.00 | $0.00 | See FINRA Report |
| Kevin James Larson | 3067781 | 2 | 05/16/2016 | Customer Dispute | Settled | $315,000.00 | $0.00 | See FINRA Report |
| William Charles Schumann | 1604894 | 5 | 05/09/2016 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Todd J Mulholland | 5468115 | 3 | 05/04/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Suzanne Kent | 1105799 | 2 | 03/31/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |