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 |
|---|---|---|---|---|---|---|---|---|
| Kevin James Larson | 3067781 | 2 | 05/16/2016 | Customer Dispute | Settled | $315,000.00 | $0.00 | See FINRA Report |
| William James Obrien | 1075392 | 2 | 05/04/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gregory Dale Hunter | 3165845 | 2 | 04/18/2016 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Howard Jay Rubin | 5836057 | 1 | 03/24/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian Thomas Mills | 2071799 | 1 | 03/01/2016 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Stanley Wong | 809384 | 23 | 02/05/2016 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| J. Paul Escudero | 2111381 | 5 | 11/23/2015 | Customer Dispute | Settled | $11,500.00 | $0.00 | See FINRA Report |
| Eric Peter Burton | 3113849 | 5 | 11/23/2015 | Customer Dispute | Denied | $10,617.00 | $0.00 | See FINRA Report |
| Katherine Ruth Nithman | 1935296 | 1 | 11/18/2015 | Customer Dispute | Settled | $55,000.00 | $0.00 | See FINRA Report |
| Debra Ann Hoag | 1203880 | 2 | 11/16/2015 | Customer Dispute | Settled | $2,015,000.00 | $0.00 | See FINRA Report |