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 |
|---|---|---|---|---|---|---|---|---|
| Mark Ivan Bass | 14422 | 3 | 06/14/1993 | Customer Dispute | Award / Judgment | $1,120,540.00 | $346,100.00 | See FINRA Report |
| Stanley Wong | 809384 | 23 | 12/27/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stanley Wong | 809384 | 23 | 03/27/1992 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Jeffrey Brian Forehand | 1618003 | 7 | 11/01/1991 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Thomas Lewis Carlisle | 810260 | 2 | 04/03/1991 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Mark Ivan Bass | 14422 | 3 | 05/24/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Kim Wong | 1164125 | 2 | 08/29/1989 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Paul Wayne Ewing | 1175958 | 2 | 07/18/1989 | Customer Dispute | Award / Judgment | $145,000.00 | $31,500.00 | See FINRA Report |
| Arv Vilutis | 724092 | 2 | 01/01/1988 | Customer Dispute | Award / Judgment | $0.00 | $24,271.20 | See FINRA Report |
| Deni Lynn Patton | 1174248 | 1 | 08/27/1987 | Customer Dispute | Settled | $144,606.00 | $0.00 | See FINRA Report |