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 |
|---|---|---|---|---|---|---|---|---|
| Mark Lowell Powers | 1254854 | 1 | 07/16/2010 | Customer Dispute | Denied | $12,717.00 | $0.00 | See FINRA Report |
| Wayne Barry Smith | 1016825 | 2 | 07/02/2010 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Bryan Christopher Davis | 2468251 | 5 | 06/16/2010 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| James George Witkowski | 4221931 | 2 | 05/25/2010 | Customer Dispute | Denied | $5,820.31 | $0.00 | See FINRA Report |
| Mark Alan Tarshis | 3258892 | 1 | 05/21/2010 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Phillip Horace Cardinale | 1287524 | 3 | 04/27/2010 | Customer Dispute | Settled | $675,000.00 | $0.00 | See FINRA Report |
| Stephen William Richman | 853284 | 1 | 03/24/2010 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Gary Capaldo | 2539787 | 5 | 02/22/2010 | Customer Dispute | Withdrawn | $50,000.00 | $0.00 | See FINRA Report |
| Al Elnasser | 2410541 | 7 | 01/29/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gary Whitworth Pearson | 1714614 | 1 | 01/29/2010 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |