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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Reed McCook | 4155186 | 3 | 04/11/2018 | Customer Dispute | Award / Judgment | $1,143,030.00 | $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 |
| Christopher Nicholas Caputo | 1389962 | 4 | 09/26/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Robert Thomas | 5239983 | 2 | 07/24/2017 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Emily Ann Secord | 5919546 | 1 | 06/16/2017 | Customer Dispute | Denied | $11,353.00 | $0.00 | See FINRA Report |
| Paul Wayne Ewing | 1175958 | 2 | 04/17/2017 | Customer Dispute | Settled | $134,597.00 | $0.00 | See FINRA Report |
| Mark M Black | 2514794 | 1 | 02/13/2017 | Customer Dispute | Settled | $43,353.70 | $0.00 | See FINRA Report |
| Thomas Edward Boles | 2771368 | 4 | 02/07/2017 | Customer Dispute | Denied | $11,538.30 | $0.00 | See FINRA Report |
| Christopher Scott Smith | 2265603 | 4 | 01/05/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |