Social EngineeringFinancial ServicesFinancePhishingStolen CredentialsCustomer Data InvolvedTargetedIdentity (basic)Government IDMediumActive

CETERA ADVISORS LLC

bd_6814e0c3fe468241 · schema v1 · pii pii-v1

Severity

Medium

Discovered

Nov 8, 2017

Filed

Jan 8, 2018

To disclose

9 weeks

Affected

5state residents only

Linked

3 filings

Confidence

66%

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

Cetera Advisors LLC notified Montana residents that an unauthorized individual gained access to an employee's email account on or about November 8, 2017. Personal information including names, addresses, and SSNs was sent outside the organization. Cetera engaged forensic investigators and offered one year of Experian IdentityWorks protection.

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Incident timeline

discovery → filing · 9 weeks / 61 days

Nov 8, 2017

Discovered

Jan 8, 2018

Filed

vs. sector median

1 wks faster

This filing is one of 3 about the same incident.View merged incident

Linked disclosures

Why this link?

Regulatory filings (2) · sorted by filing gap

Massachusetts State AGbd_49f12ea68858bcd92018-01-08Verified
New Hampshire State AGbd_b6e28dca32aa80732018-01-08Verified

Name: CETERA ADVISORS LLC
norm: cetera advisors

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

Discovered: Nov 8, 2017
Materiality determined: —
Notification sent: Nov 20, 2017
Affected individuals: 5state-resident count only
Data types: Identity (basic)Government ID
Data elements: Social Security number
Attack vector: Phishing
MITRE ATT&CK: T1566.002 Spearphishing LinkT1078 Valid Accounts
Threat actor: External
Initial access: phishing_link

During the incident: Hired an outside forensic investigation firm to assist in these efforts
Offering a complimentary one-year membership of Experian’s IdentityWorks
Changes made: Taking steps to enhance existing security protocols
Re-educating employees regarding the protection of sensitive information
Source: Quoted from the filing itself, not independently verified.

Time to disclose: 9 weeks(61 days from discovery to filing)
Compliance flags: — (clock not assessable for this source)

Status: No extraction artifact recorded for this disclosure.

Filing propagation · 3 filings · 3 states

View merged incident ↗

Massachusetts State AGJan 8 · first

New Hampshire State AGJan 8 · first

Montana State AGJan 8 · 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://dojmt.gov/wp-content/uploads/Cetera-Advisors-LLC.pdf
DisclosureLens links to the originating regulator URL — full filing bodies are not redistributed from public surfaces (§4.5).
Filed at: Jan 8, 2018
Raw hash: fb0eefb5353d6a429f60fc3baa6d381ae3ca219e51ac78c9d3dbdec27c7f785b

Linked disclosures

Regulatory filings (2) · sorted by filing gap

Reporting entityCETERA ADVISORS LLC

Victim entityCETERA ADVISORS LLC

Incidentdiscovered Nov 8, 2017

Stated responseHired an outside forensic investigation firm to assist in these efforts

Complianceclock not assessable

Extraction provenanceno artifact recorded

Source provenancedojmt.gov