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 |
|---|---|---|---|---|---|---|---|---|
| Samantha A Frasier | 4969953 | 1 | 08/14/2018 | Customer Dispute | Denied | $15,335.60 | $0.00 | See FINRA Report |
| Kevin Michael Vandyke | 2776051 | 2 | 05/15/2018 | Customer Dispute | Denied | $7,793.24 | $0.00 | See FINRA Report |
| Nathan Paul MacDonald | 2250393 | 2 | 05/15/2018 | Customer Dispute | Settled | $22,358.20 | $0.00 | See FINRA Report |
| Douglas Haig Alexander | 2087736 | 2 | 04/25/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ronald Reed McCook | 4155186 | 3 | 04/11/2018 | Customer Dispute | Award / Judgment | $1,143,030.00 | $0.00 | See FINRA Report |
| Travis G Blaser | 4228055 | 1 | 04/11/2018 | Customer Dispute | Award / Judgment | $1,143,030.00 | $0.00 | See FINRA Report |
| Joy Michelle Schlie | 2820814 | 1 | 04/04/2018 | Customer Dispute | Denied | $18,536.00 | $0.00 | See FINRA Report |
| Antonio Desano | 5910283 | 1 | 03/26/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Patrick William McDonald | 1909130 | 4 | 01/22/2018 | Customer Dispute | Denied | $4,976.05 | $0.00 | See FINRA Report |
| Laurence Mark Fotsch | 2003513 | 1 | 11/23/2017 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |