Social EngineeringFinancial ServicesProfessional ServicesFinancePhishingStolen CredentialsCustomer Data InvolvedTargetedIdentity (basic)Government IDFinancial accountMediumContained

CETERA ADVISORS LLC

bd_630c2d8d3a6582b3 · schema v1 · pii pii-v1

Severity

Medium

Discovered

Feb 9, 2018

Filed

Apr 26, 2018

To disclose

11 weeks

Affected

48state residents only

Linked

2 filings

Confidence

67%

Full breach record for CETERA ADVISORS LLC →2 incidents on file

Cetera Advisors LLC notified the NH Attorney General of a security incident where an unauthorized individual accessed an employee's email account containing personal information of 48 NH residents. The accessed data included names, addresses, DOBs, SSNs, driver's license numbers, and account numbers. Notifications were mailed on April 25, 2018, offering one year of Experian credit monitoring.

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Incident timeline

discovery → filing · 11 weeks / 76 days

Feb 9, 2018

Discovered

Apr 26, 2018

Filed

vs. sector median

+2 wks slower

This filing is one of 2 about the same incident.View merged incident

Linked disclosures

Why this link?

Regulatory filings (1) · sorted by filing gap

Massachusetts State AGbd_a671ff6a2eeeabb22018-04-26Verified

Name: CETERA ADVISORS LLC
norm: cetera advisors

Name: CETERA ADVISORS LLC
norm: cetera advisors
Industry: Financial ServicesllmProfessional Servicesllm

Discovered: Feb 9, 2018
Materiality determined: —
Notification sent: Apr 25, 2018
Affected individuals: 48state-resident count only
Data types: Identity (basic)Government IDFinancial account
Data elements: Social Security numberDate of birth
Attack vector: Phishing
MITRE ATT&CK: T1566.002 Spearphishing LinkT1078 Valid Accounts
Threat actor: ExternalFinancial
Regulator citations: Notified New Hampshire Office of the Attorney General
Initial access: phishing_link

During the incident: Conducted a thorough investigation by a forensic security firm
Began mailing written notifications to potentially affected individuals
Offered eligible potentially affected individuals a complimentary one-year membership in credit monitoring and identity theft protection services from Experian
Provided a telephone number for potentially affected individuals to call with any questions
Changes made: Taking steps to enhance existing security protocols
Re-educating staff for awareness on these types of incidents
Source: Quoted from the filing itself, not independently verified.

Time to disclose: 11 weeks(76 days from discovery to filing)
Compliance flags: — (clock not assessable for this source)

Status: No extraction artifact recorded for this disclosure.

Filing propagation · 2 filings · 2 states

View merged incident ↗

Massachusetts State AGApr 26 · first

New Hampshire State AGApr 26 · first · this page

Evidence ladder

Leak-site claim

Attacker assertion only. Establishes: claim date, group, alleged victim.

Press / market report

Unlocks: incident narrative, operational impact. Still no compliance clock.

State AG / regulator filingThis record

Unlocks: discovery date, data types, affected count, compliance clock.

SEC 8-K / victim statement

Unlocks: materiality, stated response, full audit trail. Ceiling removed.

Source URL: https://mm.nh.gov/files/uploads/doj/remote-docs/cetera-20180426.pdf
DisclosureLens links to the originating regulator URL — full filing bodies are not redistributed from public surfaces (§4.5).
Filed at: Apr 26, 2018
Raw hash: e1ac1e038dd7a8359a2c12488016dbfc6ddd8352e452b9978efe21d662e59d27

Linked disclosures

Regulatory filings (1) · sorted by filing gap

Reporting entityCETERA ADVISORS LLC

Victim entityCETERA ADVISORS LLC

Incidentdiscovered Feb 9, 2018

Stated responseConducted a thorough investigation by a forensic security firm

Complianceclock not assessable

Extraction provenanceno artifact recorded

Source provenancemm.nh.gov