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 |
|---|---|---|---|---|---|---|---|---|
| Scott Vincent Babcock | 2176455 | 1 | 02/11/2003 | Customer Dispute | Closed-No Action | $250,000.00 | $0.00 | See FINRA Report |
| Daniel Edward Brunette | 813924 | 23 | 02/10/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stanley Wong | 809384 | 23 | 02/05/2003 | Customer Dispute | Award / Judgment | $5,000.00 | $15,260.00 | See FINRA Report |
| Michael Kenneth Self | 2246403 | 9 | 02/03/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Scott Smith | 2265603 | 4 | 01/29/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Daniel Edward Brunette | 813924 | 23 | 01/20/2003 | Customer Dispute | Settled | $42,948.60 | $0.00 | See FINRA Report |
| Gregory John Halstead | 1626685 | 6 | 01/14/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ronald Mark Selik | 1616960 | 4 | 01/14/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David John Antonchak | 2746829 | 1 | 01/10/2003 | Customer Dispute | Denied | $211,475.00 | $0.00 | See FINRA Report |
| Andrew Kent Markham | 1863372 | 2 | 12/27/2002 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |