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 |
|---|---|---|---|---|---|---|---|---|
| Laura Christine Franklin | 6518573 | 4 | 05/13/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Dale Chapman | 2493705 | 3 | 03/12/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Christine Franklin | 6518573 | 4 | 02/05/2021 | 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 | 5 | 08/04/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ronda L Pope | 4564751 | 1 | 05/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lindsey Hall | 5625944 | 1 | 04/10/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven James Mayo | 2899829 | 2 | 03/02/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shirley Bachman | 6229306 | 1 | 02/19/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |