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 |
|---|---|---|---|---|---|---|---|---|
| Thomas William Burton | 2216228 | 1 | 07/21/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel Edward Brunette | 813924 | 23 | 07/07/2000 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Damon Robert Bootes | 2444844 | 3 | 06/27/2000 | Customer Dispute | Settled | $58,000.00 | $0.00 | See FINRA Report |
| John Anthony Vicari | 1039189 | 1 | 06/05/2000 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |
| Theodore Mark Miller | 2645227 | 5 | 05/23/2000 | Customer Dispute | Award / Judgment | $8,500.00 | $4,376.23 | See FINRA Report |
| Robert William Keyes | 1419419 | 2 | 04/19/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Thomas Edward Boles | 2771368 | 4 | 04/03/2000 | Customer Dispute | Settled | $64,213.30 | $0.00 | See FINRA Report |
| Owen Kenji Yamamura | 3172838 | 1 | 03/31/2000 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Richard Lann Farrar | 1010027 | 1 | 03/29/2000 | Customer Dispute | Settled | $22,958.00 | $0.00 | See FINRA Report |
| Lee Harrison Brooks | 2596886 | 2 | 02/25/2000 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |