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 |
|---|---|---|---|---|---|---|---|---|
| Michael Allen Wegner | 1638972 | 3 | 09/29/2003 | Customer Dispute | Denied | $47,000.00 | $0.00 | See FINRA Report |
| Connie Jo Binz | 4033110 | 3 | 09/23/2003 | Customer Dispute | Denied | $29,674.20 | $0.00 | See FINRA Report |
| James Samuel Hatcher | 1474336 | 1 | 09/08/2003 | Customer Dispute | Denied | $94,000.00 | $0.00 | See FINRA Report |
| Theodore Mark Miller | 2645227 | 5 | 08/27/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Anthony Maximillian Thurlow | 2257683 | 4 | 07/28/2003 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Marlene Mazur | 854366 | 3 | 07/17/2003 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| William Robert Wilde | 2263421 | 3 | 07/07/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Howard Burgess | 2175907 | 11 | 06/26/2003 | Customer Dispute | Denied | $84,872.50 | $0.00 | See FINRA Report |
| Sherman Phillip Ober | 1683236 | 4 | 05/27/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Scott Green | 1795639 | 3 | 05/15/2003 | Customer Dispute | Closed-No Action | $8,694.00 | $0.00 | See FINRA Report |