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 |
|---|---|---|---|---|---|---|---|---|
| Gaston Guillermo Escudero | 2077442 | 2 | 10/30/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Brian Forehand | 1618003 | 7 | 10/07/2001 | Customer Dispute | Denied | $8,940.00 | $0.00 | See FINRA Report |
| Janet Rose Burke | 1142679 | 2 | 10/05/2001 | Customer Dispute | Settled | $94,187.60 | $0.00 | See FINRA Report |
| Edward C Yoon | 2408137 | 4 | 10/02/2001 | Customer Dispute | Award / Judgment | $0.00 | $44,117.90 | See FINRA Report |
| Michael Kenneth Self | 2246403 | 9 | 09/25/2001 | Customer Dispute | Denied | $71,189.00 | $0.00 | See FINRA Report |
| Michael Kenneth Self | 2246403 | 9 | 09/24/2001 | Customer Dispute | Denied | $161,939.00 | $0.00 | See FINRA Report |
| Charles David Breske | 852046 | 4 | 09/11/2001 | Customer Dispute | Settled | $339,909.00 | $0.00 | See FINRA Report |
| Michael Kenneth Self | 2246403 | 9 | 08/27/2001 | Customer Dispute | Settled | $5,001.00 | $0.00 | See FINRA Report |
| Edward Francis Hayde | 3222491 | 1 | 08/06/2001 | Customer Dispute | Settled | $11,800.00 | $0.00 | See FINRA Report |
| Charles David Breske | 852046 | 4 | 06/15/2001 | Customer Dispute | Closed-No Action | $67,087.80 | $0.00 | See FINRA Report |