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 |
|---|---|---|---|---|---|---|---|---|
| Chris Jongmin Kim | 6534492 | 1 | 09/10/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jess W Hurst | 1742952 | 5 | 09/09/2019 | Customer Dispute | Withdrawn | $8,176.00 | $0.00 | See FINRA Report |
| Peter Paul Stefanic | 1071670 | 3 | 08/27/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Janet Rose Burke | 1142679 | 2 | 05/14/2019 | Customer Dispute | Denied | $464,000.00 | $0.00 | See FINRA Report |
| Daniel Joseph Derrig | 6407661 | 1 | 05/06/2019 | Customer Dispute | Settled | $6,233.43 | $0.00 | See FINRA Report |
| Andrew A Arno | 2834759 | 3 | 04/30/2019 | Customer Dispute | Settled | $359,062.00 | $0.00 | See FINRA Report |
| James Joseph Gibson | 1420473 | 1 | 04/30/2019 | Customer Dispute | Settled | $359,062.00 | $0.00 | See FINRA Report |
| Michael Howard Burgess | 2175907 | 11 | 04/23/2019 | Customer Dispute | Denied | $5,000.01 | $0.00 | See FINRA Report |
| Jeffrey Alan Bahary | 1294796 | 1 | 03/08/2019 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Brian Michael Youngs | 2479488 | 3 | 01/16/2019 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |