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 |
|---|---|---|---|---|---|---|---|---|
| Michael John Stone | 1985705 | 1 | 06/12/2001 | Customer Dispute | Award / Judgment | $11,258.00 | $0.00 | See FINRA Report |
| Brent Dion Williams | 2891024 | 2 | 06/07/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| J. Paul Escudero | 2111381 | 5 | 05/17/2001 | Customer Dispute | Denied | $31,322.00 | $0.00 | See FINRA Report |
| Jonathan Edward Rogers | 2619428 | 2 | 05/01/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Travis Jerome Hughes | 1532177 | 7 | 04/27/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Brian Forehand | 1618003 | 7 | 04/26/2001 | Customer Dispute | Denied | $15,258.00 | $0.00 | See FINRA Report |
| Dan Patrick Foster | 1292507 | 2 | 04/12/2001 | Customer Dispute | Closed-No Action | $7,066.88 | $0.00 | See FINRA Report |
| Mark S Banner | 2055606 | 1 | 04/09/2001 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Gregory Dale Hunter | 3165845 | 2 | 04/04/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Michael Kenneth Self | 2246403 | 9 | 03/07/2001 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |