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 |
|---|---|---|---|---|---|---|---|---|
| Gregory Powell | 1217415 | 1 | 11/16/2015 | Customer Dispute | Settled | $2,015,000.00 | $0.00 | See FINRA Report |
| Lydia Faye Mobley | 2498748 | 1 | 10/30/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Curtis Dickerson Pilson | 1853722 | 3 | 10/12/2015 | Customer Dispute | Settled | $173,920.00 | $0.00 | See FINRA Report |
| Kyong H Kim | 2510032 | 1 | 08/25/2015 | Customer Dispute | Award / Judgment | $25,791.80 | $0.00 | See FINRA Report |
| Stanley Wong | 809384 | 23 | 08/20/2015 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| Steven Joseph Amico | 4309276 | 1 | 08/19/2015 | Customer Dispute | Denied | $13,297.00 | $0.00 | See FINRA Report |
| John Joseph Coloso | 1286282 | 1 | 06/26/2015 | Customer Dispute | Withdrawn | $10,136.00 | $0.00 | See FINRA Report |
| Stephen Kerutis | 2345517 | 7 | 06/25/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Douglas White | 1553285 | 1 | 06/16/2015 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Sophie M Lancaster | 4977599 | 1 | 06/05/2015 | Customer Dispute | Closed-No Action | $8,500.00 | $0.00 | See FINRA Report |