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 |
|---|---|---|---|---|---|---|---|---|
| Roger Scott Green | 1795639 | 3 | 09/09/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Paul John Rizzo | 2464522 | 1 | 07/19/2021 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Gregory John Halstead | 1626685 | 6 | 06/30/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Scott Green | 1795639 | 3 | 06/23/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Curtis Lawler | 1193477 | 6 | 06/22/2021 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| James Alan Hoffman | 2670530 | 4 | 06/14/2021 | Customer Dispute | Withdrawn | $350,000.00 | $0.00 | See FINRA Report |
| Ronald Mark Selik | 1616960 | 4 | 06/10/2021 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Anthony Grassi | 2791597 | 3 | 04/20/2021 | Customer Dispute | Denied | $24,000.00 | $0.00 | See FINRA Report |
| Randy Charles Blasdell | 1160003 | 1 | 04/05/2021 | Customer Dispute | Withdrawn | $150,000.00 | $0.00 | See FINRA Report |
| Bryan Christopher Davis | 2468251 | 5 | 04/01/2021 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |