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 |
|---|---|---|---|---|---|---|---|---|
| Donald Terry Burrows | 2377015 | 2 | 12/08/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Jose Maria Minoru Jimenez | 5452535 | 2 | 11/02/2020 | Customer Dispute | Closed-No Action | $19,809.00 | $0.00 | See FINRA Report |
| Adam Jeffrey Trent | 5039682 | 1 | 09/15/2020 | Customer Dispute | Closed-No Action | $27,000.00 | $0.00 | See FINRA Report |
| Jerry Francis Gintz | 1839109 | 1 | 04/21/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kevin Thomas Fles | 4747383 | 2 | 02/25/2020 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Sophie M Lancaster | 4977599 | 1 | 06/05/2015 | Customer Dispute | Closed-No Action | $8,500.00 | $0.00 | See FINRA Report |
| Dean Anthony Teofilo | 1933005 | 1 | 01/25/2013 | Customer Dispute | Closed-No Action | $11,912.80 | $0.00 | See FINRA Report |
| Wayne Barry Smith | 1016825 | 2 | 07/02/2010 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Sherman Phillip Ober | 1683236 | 4 | 03/02/2009 | Customer Dispute | Closed-No Action | $125,000.00 | $0.00 | See FINRA Report |
| Kirby Spencer McDonald | 1622995 | 2 | 12/20/2008 | Customer Dispute | Closed-No Action | $26,000.00 | $0.00 | See FINRA Report |