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 |
|---|---|---|---|---|---|---|---|---|
| Stephen George Canakes | 1026974 | 1 | 10/31/2002 | Customer Dispute | Closed-No Action | $13,791.50 | $0.00 | See FINRA Report |
| Michael Howard Burgess | 2175907 | 11 | 10/10/2002 | Customer Dispute | Denied | $21,000.00 | $0.00 | See FINRA Report |
| Anthony Maximillian Thurlow | 2257683 | 4 | 08/22/2002 | Customer Dispute | Denied | $12,075.00 | $0.00 | See FINRA Report |
| William Frederic Perry | 2037680 | 2 | 08/16/2002 | Customer Dispute | Denied | $91,098.30 | $0.00 | See FINRA Report |
| Louis Anthony Mazzone | 2016263 | 1 | 08/09/2002 | Customer Dispute | Settled | $45,410.10 | $0.00 | See FINRA Report |
| Brian Christopher Orourke | 1030442 | 3 | 08/02/2002 | Customer Dispute | Settled | $68,000.00 | $0.00 | See FINRA Report |
| Vincent Paul Grimaldi | 3028787 | 2 | 07/27/2002 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| Andrew Louis Kadala | 2358123 | 3 | 07/25/2002 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Daniel Stewart Klein | 2901933 | 1 | 07/24/2002 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Jeffrey Brian Forehand | 1618003 | 7 | 07/10/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |