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 |
|---|---|---|---|---|---|---|---|---|
| Bryan Christopher Davis | 2468251 | 5 | 01/04/2005 | Customer Dispute | Denied | $8,400.00 | $0.00 | See FINRA Report |
| Randy Lee Roesler | 2144474 | 3 | 12/02/2004 | Customer Dispute | Denied | $10,800.00 | $0.00 | See FINRA Report |
| David Don Semersky | 2943874 | 4 | 11/15/2004 | Customer Dispute | Settled | $14,972.50 | $0.00 | See FINRA Report |
| J. Paul Escudero | 2111381 | 5 | 10/27/2004 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Donna Louise Sulzbach | 1201478 | 2 | 09/15/2004 | Customer Dispute | Award / Judgment | $170,786.00 | $282,263.00 | See FINRA Report |
| Sherman Phillip Ober | 1683236 | 4 | 09/13/2004 | Customer Dispute | Denied | $143,000.00 | $0.00 | See FINRA Report |
| Gary Capaldo | 2539787 | 5 | 08/24/2004 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Robert Alexander Solley | 2079020 | 2 | 07/20/2004 | Customer Dispute | Settled | $1,800,000.00 | $0.00 | See FINRA Report |
| Peter Paul Stefanic | 1071670 | 3 | 05/21/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Edward Brunette | 813924 | 23 | 05/20/2004 | Customer Dispute | Settled | $20,588.00 | $0.00 | See FINRA Report |