CETERA FINANCIAL GROUP, INC.
8 disclosures across 7 jurisdictions · 2022-06-09 → 2026-03-27. Severity score: 6 across 2 incidents (max per incident: crit=4 high=3 med=2 low=1; per-filing sum: 15).
1825-day window · this entity as victim
apparent from filed dates · see trail
below 80%
max per incident · per-filing sum: 15
Compliance timing by regulator
Notice timing computed from the dates recorded in each filing — an indicative estimate from an automated clock, not a legal determination. Click any chip for the source filings.
- California1 on-time · 0 late · 1
- Maine1 on-time · 1 review · 0 late · 2
- Texas0 on-time · 1 late · 1
- Vermont0 on-time · 1 late · 1
us-in — no notification-clock framework implemented for this jurisdiction
us-mt — no notification-clock framework implemented for this jurisdiction
us-nh — no notification-clock framework implemented for this jurisdiction
Breach History (5-Year Lookback)
Historical incident recurrence, cumulative exposure, and per-jurisdiction compliance record
within lookback window
late notice filings
median days between incidents
Per-jurisdiction compliance record
| Jurisdiction | On-time | Late | Rate |
|---|---|---|---|
| us-ca | 1 | 0 | 100% |
| us-me | 1 | 1 | 50% |
| us-tx | 0 | 1 | 0% |
| us-vt | 0 | 1 | 0% |
Cumulative data type exposure
Disclosure timeline
Most-recent 100 filings. Click a row to open the disclosure detail.
| Filed | Source | Jurisdiction | Severity | Affected | Clocks missed |
|---|---|---|---|---|---|
| 2026-03-27 | state_ag | us-tx | High | 1.4K | TX AG >30d |
| 2026-03-25 | state_ag | us-vt | Medium | 96 | VT AG >45 bday |
| 2026-03-25 | state_ag | us-ca | Low | — | |
| 2026-03-25 | state_ag | us-in | Low | 487 | |
| 2026-03-25 | state_ag | us-me | Medium | 57 | ME AG >30d |
| 2026-03-24 | state_ag | us-nh | Medium | 110 | |
| 2022-06-09 | state_ag | us-me | High | 2.2K | |
| 2022-06-09 | state_ag | us-mt | Low | 4 |