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 |
|---|---|---|---|---|---|---|---|---|
| Jessica Franz-Martin | 6579615 | 1 | 07/25/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jill Kaufman | 1837595 | 7 | 03/22/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Nejfelt | 5598679 | 2 | 03/08/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jill Kaufman | 1837595 | 7 | 12/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jahangir Ali Sultan | 4188015 | 1 | 10/16/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jill Kaufman | 1837595 | 7 | 09/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Jill Kaufman | 1837595 | 7 | 08/23/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Edward Hunter | 2038113 | 1 | 07/07/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Iain Patrick Reilly | 2197881 | 2 | 03/24/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lisa Mischele Guillory | 2119094 | 1 | 03/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |