Our Staff has compiled our research into a database of FINRA Broker Disclosures for Cetera Advisors 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 |
|---|---|---|---|---|---|---|---|---|
| Christen Shontell Blodgett | 5598386 | 3 | 07/30/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Hal Bradley Butler | 1069655 | 1 | 07/11/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patricia Lynn Simms | 2693857 | 1 | 06/27/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| David Joseph Perrotto | 4960240 | 2 | 06/27/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Angela Renee Parra-McNeely | 4028961 | 2 | 05/24/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Timothy Richard Farris | 2178521 | 2 | 05/22/2024 | Customer Dispute | Pending | $33,000.00 | $0.00 | See FINRA Report |
| Mary Ann Silvers | 3227407 | 1 | 05/22/2024 | Customer Dispute | Pending | $33,000.00 | $0.00 | See FINRA Report |
| Al Elnasser | 2410541 | 7 | 04/24/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Theodore Bernhardt Erickson | 2376988 | 4 | 04/03/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Theodore Bernhardt Erickson | 2376988 | 4 | 03/08/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |