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 |
|---|---|---|---|---|---|---|---|---|
| Gust Emmenuel Dekavallas | 2154441 | 4 | 10/19/2006 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| David Todd Harding | 2762385 | 3 | 09/21/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jay Lipfert Richards | 1689554 | 1 | 09/20/2006 | Customer Dispute | Denied | $80,891.00 | $0.00 | See FINRA Report |
| Patrick William McDonald | 1909130 | 4 | 09/18/2006 | Customer Dispute | Denied | $215,167.00 | $0.00 | See FINRA Report |
| John Marian Zacira | 4672272 | 1 | 08/22/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gust Emmenuel Dekavallas | 2154441 | 4 | 08/15/2006 | Customer Dispute | Denied | $32,800.00 | $0.00 | See FINRA Report |
| Gregory John Bayer | 1526183 | 3 | 08/11/2006 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Christopher Scott Smith | 2265603 | 4 | 08/07/2006 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Kevin Patrick Adam | 2393993 | 3 | 07/27/2006 | Customer Dispute | Denied | $7,382.35 | $0.00 | See FINRA Report |
| Alice Catherine Baboushkin | 2201010 | 1 | 07/21/2006 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |