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 |
|---|---|---|---|---|---|---|---|---|
| Edward Michael Winters | 1754074 | 1 | 05/15/2003 | Customer Dispute | Closed-No Action | $150,527.00 | $0.00 | See FINRA Report |
| Mark Alan Carnes | 714111 | 1 | 05/01/2003 | Customer Dispute | Settled | $31,000.00 | $0.00 | See FINRA Report |
| James Martin Starnes | 4309891 | 1 | 04/29/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Katherine Jeanette Cathcart | 2343349 | 1 | 04/22/2003 | Customer Dispute | Denied | $90,000.00 | $0.00 | See FINRA Report |
| Brian Neal Everett | 1250585 | 3 | 04/11/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Andrew Kent Markham | 1863372 | 2 | 04/11/2003 | Customer Dispute | Settled | $9,900.00 | $0.00 | See FINRA Report |
| Gust Emmenuel Dekavallas | 2154441 | 4 | 04/11/2003 | Customer Dispute | Denied | $108,656.00 | $0.00 | See FINRA Report |
| Shawn Devin Smith | 1640168 | 5 | 03/28/2003 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Curtis Dickerson Pilson | 1853722 | 3 | 03/28/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Daniel Edward Brunette | 813924 | 23 | 03/18/2003 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |