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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| 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 |
| Jeffrey Dale Chapman | 2493705 | 6 | 03/12/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tyler Young Escudero | 7307233 | 1 | 11/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Nicholas Caputo | 1389962 | 4 | 10/29/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan Christopher Davis | 2468251 | 4 | 08/04/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |