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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth C Kondas | 2882129 | 1 | 05/03/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ernest Michael Bosso | 4707144 | 1 | 07/10/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Samuel Alfonso Mangiapane | 6127711 | 1 | 03/12/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jose Maria Minoru Jimenez | 5452535 | 2 | 11/22/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bryan J Nieman | 5832427 | 1 | 02/21/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jason James Fial | 4938200 | 1 | 03/23/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Alan Meek | 3048173 | 2 | 01/24/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrew A Arno | 2834759 | 3 | 08/04/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Corey Douglas Ross | 4031863 | 1 | 04/27/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Allen Kirsh | 1190519 | 2 | 04/11/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |