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 |
|---|---|---|---|---|---|---|---|---|
| Alan Scott Cobb | 3043281 | 2 | 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 |
| John Allen Shalek | 1803360 | 2 | 06/18/2003 | Customer Dispute | Closed-No Action | $62,943.60 | $0.00 | See FINRA Report |
| Edward Michael Winters | 1754074 | 1 | 05/15/2003 | Customer Dispute | Closed-No Action | $150,527.00 | $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 |
| Brian Neal Everett | 1250585 | 1 | 04/11/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Donald Jay Smith | 837936 | 2 | 03/17/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Scott Vincent Babcock | 2176455 | 1 | 02/11/2003 | Customer Dispute | Closed-No Action | $250,000.00 | $0.00 | See FINRA Report |