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 |
|---|---|---|---|---|---|---|---|---|
| Connie Jo Binz | 4033110 | 3 | 03/06/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sherman Phillip Ober | 1683236 | 4 | 03/02/2009 | Customer Dispute | Closed-No Action | $125,000.00 | $0.00 | See FINRA Report |
| Brian James Megley | 2302308 | 5 | 02/08/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Walter Giovanny Suarez | 4862075 | 1 | 02/03/2009 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Marcus Anders Hebeler | 2760100 | 2 | 01/27/2009 | Customer Dispute | Settled | $7,739.81 | $0.00 | See FINRA Report |
| Kelly Jo Goreham | 2948712 | 2 | 01/26/2009 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Javier Alejandro Vallejo | 4698101 | 4 | 01/22/2009 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Richard Allan Shaw | 1592514 | 1 | 01/16/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Bruce Edward Balkcom | 2158092 | 1 | 01/16/2009 | Customer Dispute | Award / Judgment | $25,500.00 | $12,500.00 | See FINRA Report |
| Solomon Mark Karmel | 4522329 | 1 | 01/14/2009 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |