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 |
|---|---|---|---|---|---|---|---|---|
| Donna Louise Sulzbach | 1201478 | 2 | 11/15/2001 | Customer Dispute | Closed-No Action | $188,867.00 | $0.00 | See FINRA Report |
| Charles David Breske | 852046 | 4 | 06/15/2001 | Customer Dispute | Closed-No Action | $67,087.80 | $0.00 | See FINRA Report |
| Dan Patrick Foster | 1292507 | 2 | 04/12/2001 | Customer Dispute | Closed-No Action | $7,066.88 | $0.00 | See FINRA Report |
| Thomas William Burton | 2216228 | 1 | 07/21/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Anthony Vicari | 1039189 | 1 | 06/05/2000 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |
| Robert William Keyes | 1419419 | 2 | 04/19/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Brian James Megley | 2302308 | 5 | 12/29/1999 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Howard Titen | 1040033 | 1 | 12/09/1998 | Customer Dispute | Closed-No Action | $362,000.00 | $0.00 | See FINRA Report |