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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Reed McCook | 4155186 | 3 | 04/11/2018 | Customer Dispute | Award / Judgment | $1,143,030.00 | $0.00 | See FINRA Report |
| Travis G Blaser | 4228055 | 1 | 04/11/2018 | Customer Dispute | Award / Judgment | $1,143,030.00 | $0.00 | See FINRA Report |
| Kyong H Kim | 2510032 | 1 | 08/25/2015 | Customer Dispute | Award / Judgment | $25,791.80 | $0.00 | See FINRA Report |
| Mark Griffin Harrop | 1337796 | 1 | 05/23/2013 | Customer Dispute | Award / Judgment | $230,000.00 | $36,000.00 | See FINRA Report |
| Bruce Edward Balkcom | 2158092 | 1 | 01/16/2009 | Customer Dispute | Award / Judgment | $25,500.00 | $12,500.00 | See FINRA Report |
| Robert Harold Hogsette | 2230674 | 1 | 05/14/2007 | Customer Dispute | Award / Judgment | $50,000.00 | $37,153.90 | See FINRA Report |
| Paul St Patrick Barnes | 2022213 | 1 | 03/28/2005 | Customer Dispute | Award / Judgment | $74,991.00 | $28,310.60 | See FINRA Report |
| Donna Louise Sulzbach | 1201478 | 2 | 09/15/2004 | Customer Dispute | Award / Judgment | $170,786.00 | $282,263.00 | See FINRA Report |
| Stanley Wong | 809384 | 23 | 02/05/2003 | Customer Dispute | Award / Judgment | $5,000.00 | $15,260.00 | See FINRA Report |
| J. Paul Escudero | 2111381 | 5 | 05/07/2002 | Customer Dispute | Award / Judgment | $400,000.00 | $115,914.00 | See FINRA Report |