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 |
|---|---|---|---|---|---|---|---|---|
| Peter C Han | 4704497 | 2 | 06/25/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Scott Green | 1795639 | 3 | 06/23/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Curtis Lawler | 1193477 | 4 | 06/22/2021 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Alan Eric Kent | 2300301 | 1 | 06/22/2021 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Kirby Spencer McDonald | 1622995 | 3 | 06/18/2021 | Customer Dispute | Settled | $100,001.00 | $0.00 | See FINRA Report |
| James Alan Hoffman | 2670530 | 4 | 06/14/2021 | Customer Dispute | Withdrawn | $350,000.00 | $0.00 | See FINRA Report |
| Ronald Mark Selik | 1616960 | 4 | 06/10/2021 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Kenneth Vincent Nelson | 1780923 | 1 | 04/27/2021 | Customer Dispute | Closed-No Action | $65,814.00 | $0.00 | See FINRA Report |
| Anthony Grassi | 2791597 | 3 | 04/20/2021 | Customer Dispute | Denied | $24,000.00 | $0.00 | See FINRA Report |
| Randy Charles Blasdell | 1160003 | 1 | 04/05/2021 | Customer Dispute | Withdrawn | $150,000.00 | $0.00 | See FINRA Report |