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 |
|---|---|---|---|---|---|---|---|---|
| Jerry Francis Gintz | 1839109 | 1 | 04/21/2020 | Customer Dispute | Closed-No Action | $0.00 | $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 |
| Steven Trevor Skipper | 4265009 | 3 | 01/15/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tuan Anh Ngo | 2819426 | 2 | 11/29/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Ronald Reed McCook | 4155186 | 3 | 11/01/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Joshua Goldman | 2217350 | 1 | 10/14/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dwight Harry Olson | 804430 | 1 | 10/14/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Scott Laskin | 2201317 | 2 | 09/17/2019 | Customer Dispute | Pending | $57,527.00 | $0.00 | See FINRA Report |