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 |
|---|---|---|---|---|---|---|---|---|
| Donald Jay Smith | 837936 | 2 | 03/17/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Charles Thomas Douthit | 1837179 | 6 | 03/12/2003 | Customer Dispute | Denied | $59,804.80 | $0.00 | See FINRA Report |
| Charles Thomas Douthit | 1837179 | 6 | 03/12/2003 | Customer Dispute | Settled | $178,300.00 | $0.00 | See FINRA Report |
| Charles Thomas Douthit | 1837179 | 6 | 03/12/2003 | Customer Dispute | Settled | $193,074.00 | $0.00 | See FINRA Report |
| William Garfield Levis | 3199434 | 2 | 03/12/2003 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |
| Phillip Horace Cardinale | 1287524 | 3 | 03/10/2003 | Customer Dispute | Denied | $109,549.00 | $0.00 | See FINRA Report |
| Ivan Cid Gonzalez | 2598229 | 3 | 03/07/2003 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| William Deveraux Ward | 1762380 | 1 | 03/04/2003 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| John David Foster | 2622889 | 1 | 02/24/2003 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Jonathan Mitchel Lipchin | 2326770 | 2 | 02/11/2003 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |