Cetera Financial Specialists LLC
Regulator actionUnited States. Named in 5 sanctions listings.
Sanctions and listings5
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/02/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045234401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cetera Advisor Networks LLC, Respondent Member Firm CRD No. 13572 Cetera Financial Specialists LLC, Respondent Member Firm CRD No. 10358 First Allied Securities, Inc., Respondent Member Firm CRD No. 32444 Summit Brokerage Services, Inc., Respondent Member Firm CRD No. 34643 VSR Financial Services, lnc., Respondent
Reference 2015045234401finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/24/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012033141502 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Genworth Financial Securities Corporation, n/k/a Cetera Financial Specialists, LLC, Respondent CRD No. 10358 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Genworth Financial Securities Corporation, n/k/a Cetera Financial Specialists, LLC, (the “Firm" or "Respondent")
Reference 2012033141502data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/21/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050259101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cetera Financial Specialists LLC, Respondent CRD No. 10358 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cetera Financial Specialists LLC ("CFS" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2016050259101data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/09/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045233601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cetera Financial Specialists LLC, Respondent CRD No. 10358 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Cetera Financial Specialists LLC ("CFS" or the "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2015045233601data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/15/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046716901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cetera Advisor Networks LLC, Respondent Member Firm CRD No. 13572 Cetera Advisors LLC, Respondent Member Firm CRD No. 10299 Cetera Financial Specialists LLC, Respondent Member Firm CRD No. 10358 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondents Cetera Advisor Networks LLC, Cetera Advisors LLC
Reference 2015046716901finra.orgdata-portal.finra.org
Other names1
Also known as1
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