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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Scott Smith | 2265603 | 4 | 07/02/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Michael Anthony Agol | 2416929 | 1 | 06/17/2002 | Customer Dispute | Settled | $489,000.00 | $0.00 | See FINRA Report |
| Michael Kenneth Self | 2246403 | 9 | 05/14/2002 | Customer Dispute | Denied | $72,000.00 | $0.00 | See FINRA Report |
| Daniel Edward Brunette | 813924 | 23 | 05/10/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| J. Paul Escudero | 2111381 | 5 | 05/07/2002 | Customer Dispute | Award / Judgment | $400,000.00 | $115,914.00 | See FINRA Report |
| Frisco J Escudero | 2794899 | 1 | 05/07/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lynn Davison Gallirio | 1774736 | 2 | 05/03/2002 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Scott Joseph Adams | 2567442 | 3 | 04/13/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Iain Patrick Reilly | 2197881 | 2 | 04/10/2002 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Daniel Edward Brunette | 813924 | 23 | 04/01/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |