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 David Greenberg | 3244215 | 2 | 03/25/2013 | Customer Dispute | Denied | $30,932.00 | $0.00 | See FINRA Report |
| Joseph Allan Marshall | 1023070 | 3 | 03/19/2013 | Customer Dispute | Denied | $456,000.00 | $0.00 | See FINRA Report |
| William Foster Bounds | 1604643 | 2 | 03/11/2013 | Customer Dispute | Settled | $975,000.00 | $0.00 | See FINRA Report |
| David Kevin Dugan | 1024104 | 2 | 02/26/2013 | Customer Dispute | Settled | $18,817.30 | $0.00 | See FINRA Report |
| Dean Anthony Teofilo | 1933005 | 1 | 01/25/2013 | Customer Dispute | Closed-No Action | $11,912.80 | $0.00 | See FINRA Report |
| Scott Douglas Reisenweaver | 2485345 | 1 | 12/20/2012 | Customer Dispute | Denied | $3,500,000.00 | $0.00 | See FINRA Report |
| Drew Daniel Dehnicke | 4424053 | 1 | 11/29/2012 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| David Todd Harding | 2762385 | 3 | 10/30/2012 | Customer Dispute | Denied | $84,000.00 | $0.00 | See FINRA Report |
| Thomas Edward Boles | 2771368 | 4 | 10/16/2012 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Michael Howard Burgess | 2175907 | 11 | 09/24/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |