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 |
|---|---|---|---|---|---|---|---|---|
| Gregory John Halstead | 1626685 | 6 | 01/14/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Allen Shalek | 1803360 | 2 | 11/21/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Stephen George Canakes | 1026974 | 1 | 10/31/2002 | Customer Dispute | Closed-No Action | $13,791.50 | $0.00 | See FINRA Report |
| Dennis Michael Printy | 841766 | 1 | 09/26/2002 | Customer Dispute | Closed-No Action | $6,974.21 | $0.00 | See FINRA Report |
| Thomas Edward Brady | 1019077 | 1 | 04/08/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jess W Hurst | 1742952 | 6 | 02/28/2002 | Customer Dispute | Closed-No Action | $23,011.60 | $0.00 | See FINRA Report |
| Jess W Hurst | 1742952 | 6 | 02/25/2002 | Customer Dispute | Closed-No Action | $30,608.50 | $0.00 | See FINRA Report |
| Richard David Peck | 359116 | 1 | 12/14/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Stuart Bryan Haw | 2905167 | 3 | 11/29/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Donna Louise Sulzbach | 1201478 | 2 | 11/15/2001 | Customer Dispute | Closed-No Action | $188,867.00 | $0.00 | See FINRA Report |