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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Brian Forehand | 1618003 | 7 | 03/26/2021 | Customer Dispute | Settled | $330,000.00 | $0.00 | See FINRA Report |
| Eric Peter Burton | 3113849 | 5 | 03/21/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Curtis Lawler | 1193477 | 6 | 01/28/2021 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |
| Joshua Keith Rushing | 6399994 | 2 | 01/28/2021 | Customer Dispute | Settled | $11,605.00 | $0.00 | See FINRA Report |
| Peter C Han | 4704497 | 1 | 01/21/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kevin Thomas Fles | 4747383 | 2 | 01/05/2021 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Wayne Barry Smith | 1016825 | 2 | 12/30/2020 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Donald Terry Burrows | 2377015 | 2 | 12/08/2020 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Bo Li | 2225599 | 1 | 11/23/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Peter Kyung Hoon Rhee | 2326728 | 4 | 11/16/2020 | Customer Dispute | Settled | $420,887.00 | $0.00 | See FINRA Report |