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 |
|---|---|---|---|---|---|---|---|---|
| James Phillip McEachern | 1096457 | 2 | 08/06/2008 | Customer Dispute | Closed-No Action | $20,770.00 | $0.00 | See FINRA Report |
| Tyler Lee Ricottilli | 3125402 | 1 | 04/02/2008 | Customer Dispute | Closed-No Action | $7,500.00 | $0.00 | See FINRA Report |
| Javier Alejandro Vallejo | 4698101 | 4 | 01/28/2008 | Customer Dispute | Closed-No Action | $8,200.00 | $0.00 | See FINRA Report |
| Janenne Marie Lackey | 4142760 | 2 | 06/05/2007 | Customer Dispute | Closed-No Action | $400,000.00 | $0.00 | See FINRA Report |
| Jonathan Mitchel Lipchin | 2326770 | 2 | 12/26/2006 | Customer Dispute | Closed-No Action | $60,000.00 | $0.00 | See FINRA Report |
| Alan Scott Cobb | 3043281 | 1 | 09/03/2005 | Customer Dispute | Closed-No Action | $28,900.00 | $0.00 | See FINRA Report |
| Joseph Anthony Murto | 4509024 | 1 | 04/13/2005 | Customer Dispute | Closed-No Action | $22,555.00 | $0.00 | See FINRA Report |
| Elizabeth Adams Armstrong | 2680556 | 3 | 04/27/2004 | Customer Dispute | Closed-No Action | $120,000.00 | $0.00 | See FINRA Report |
| Randy Lee Roesler | 2144474 | 3 | 03/24/2004 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Roger Scott Green | 1795639 | 3 | 05/15/2003 | Customer Dispute | Closed-No Action | $8,694.00 | $0.00 | See FINRA Report |