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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Curtis Lawler | 1193477 | 4 | 05/21/2020 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Jerry Francis Gintz | 1839109 | 1 | 04/21/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Samuel Waters | 734939 | 1 | 04/21/2020 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Jess W Hurst | 1742952 | 6 | 04/07/2020 | Customer Dispute | Settled | $24,607.10 | $0.00 | See FINRA Report |
| Stuart Bryan Haw | 2905167 | 3 | 04/01/2020 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Daniel Edward Brunette | 813924 | 23 | 03/18/2020 | Customer Dispute | Denied | $3,034,850.00 | $0.00 | See FINRA Report |
| Kevin Thomas Fles | 4747383 | 2 | 02/25/2020 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Christopher J Braccia | 3273855 | 2 | 02/06/2020 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Stephen Anthony Oliver | 2173688 | 1 | 02/06/2020 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Steven Trevor Skipper | 4265009 | 3 | 01/15/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |