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 |
|---|---|---|---|---|---|---|---|---|
| Joseph James Montalbano | 4675694 | 3 | 04/13/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Wenhui Zack Wang | 4839405 | 1 | 04/03/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Marlene Mazur | 854366 | 3 | 10/08/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Allan Marshall | 1023070 | 3 | 05/09/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gregory John Halstead | 1626685 | 6 | 11/22/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Baek | 3111963 | 2 | 10/30/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Edward Brunette | 813924 | 23 | 07/12/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Ralph Howard | 251246 | 1 | 05/17/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Lewis Carlisle | 810260 | 2 | 03/11/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ralph Eugene Winn | 1070182 | 1 | 05/13/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |