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 |
|---|---|---|---|---|---|---|---|---|
| Elizabeth Adams Armstrong | 2680556 | 3 | 04/27/2004 | Customer Dispute | Closed-No Action | $120,000.00 | $0.00 | See FINRA Report |
| David Don Semersky | 2943874 | 4 | 04/02/2004 | Customer Dispute | Denied | $133,348.00 | $0.00 | See FINRA Report |
| Randy Lee Roesler | 2144474 | 3 | 03/24/2004 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| James Parker | 2681863 | 2 | 03/24/2004 | Customer Dispute | Denied | $10,500.00 | $0.00 | See FINRA Report |
| Mark Richard Lobdell | 867457 | 2 | 02/25/2004 | Customer Dispute | Denied | $11,692.50 | $0.00 | See FINRA Report |
| John Kenneth Lynde | 2690320 | 2 | 01/20/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jonathan Edward Rogers | 2619428 | 2 | 01/14/2004 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Marc Dean Spinner | 2727461 | 1 | 12/29/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Douglas P Hepburn | 2845633 | 1 | 12/20/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Scott Cutshall | 1907599 | 2 | 12/10/2003 | Customer Dispute | Settled | $10,501.50 | $0.00 | See FINRA Report |