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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Craig Umbach | 4658279 | 1 | 01/28/2010 | Customer Dispute | Withdrawn | $19,920.00 | $0.00 | See FINRA Report |
| Michael Howard Burgess | 2175907 | 11 | 01/26/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gust Emmenuel Dekavallas | 2154441 | 4 | 10/09/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lisa Potts Bauer | 4589837 | 1 | 10/07/2009 | Customer Dispute | Withdrawn | $261,411.00 | $0.00 | See FINRA Report |
| John David Kadletz | 4455776 | 1 | 09/08/2009 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Douglas Wilford Cole | 1037963 | 2 | 08/10/2009 | Customer Dispute | Denied | $90,000.00 | $0.00 | See FINRA Report |
| John A Mayfield | 4316324 | 2 | 08/03/2009 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Dominic George Tobacco | 2084089 | 2 | 07/20/2009 | Customer Dispute | Settled | $1,050,000.00 | $0.00 | See FINRA Report |
| Arv Vilutis | 724092 | 2 | 07/14/2009 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Stephen Kerutis | 2345517 | 7 | 07/13/2009 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |