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 |
|---|---|---|---|---|---|---|---|---|
| Artiz Demetrius Stroud | 5362366 | 1 | 12/16/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jill Kaufman | 1837595 | 7 | 10/16/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Randall John Mason | 1758777 | 2 | 07/31/2023 | Customer Dispute | Final | $99,999.00 | $0.00 | See FINRA Report |
| Eric Peter Burton | 3113849 | 5 | 03/23/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Leonard Whittingham | 4175525 | 2 | 02/10/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Russell Aiken | 1036253 | 2 | 01/04/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Angelei Yamsuan Liongson | 2507652 | 1 | 10/31/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Leonard Whittingham | 4175525 | 2 | 10/28/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Peter Burton | 3113849 | 5 | 08/11/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Peter Burton | 3113849 | 5 | 06/22/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |