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 |
|---|---|---|---|---|---|---|---|---|
| Kirby Spencer McDonald | 1622995 | 2 | 11/07/2018 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Dale Deval Carey | 4120046 | 1 | 10/15/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Luke Alan Glasscock | 6579141 | 1 | 10/15/2018 | Customer Dispute | Denied | $36,000.00 | $0.00 | See FINRA Report |
| Jeremy Wilmes | 4049866 | 1 | 10/01/2018 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Kevin Patrick Adam | 2393993 | 3 | 09/05/2018 | Customer Dispute | Denied | $20,114.70 | $0.00 | See FINRA Report |
| Samantha A Frasier | 4969953 | 1 | 08/14/2018 | Customer Dispute | Denied | $15,335.60 | $0.00 | See FINRA Report |
| Tuan Anh Ngo | 2819426 | 2 | 07/10/2018 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Nathan Paul MacDonald | 2250393 | 1 | 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 |
| Travis G Blaser | 4228055 | 1 | 04/11/2018 | Customer Dispute | Award / Judgment | $1,143,030.00 | $0.00 | See FINRA Report |