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 |
|---|---|---|---|---|---|---|---|---|
| Mitchel David Shapiro | 1288816 | 1 | 07/02/2009 | Customer Dispute | Denied | $86,113.20 | $0.00 | See FINRA Report |
| Theresa Harris Goldsmith | 1263235 | 2 | 06/29/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Travis Jerome Hughes | 1532177 | 7 | 06/22/2009 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |
| William Frederic Perry | 2037680 | 2 | 06/19/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Bryan P Cunningham | 2930671 | 2 | 06/19/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kristian John Coffey | 3127488 | 1 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stuart Quinn Hoshide | 1838860 | 15 | 04/24/2009 | Customer Dispute | Settled | $3,049.69 | $0.00 | See FINRA Report |
| Gary Capaldo | 2539787 | 5 | 04/14/2009 | Customer Dispute | Denied | $20,313.60 | $0.00 | See FINRA Report |
| Dan Patrick Foster | 1292507 | 2 | 03/25/2009 | Customer Dispute | Denied | $16,354.90 | $0.00 | See FINRA Report |
| Jess W Hurst | 1742952 | 5 | 03/16/2009 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |