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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Alan Labri | 2581719 | 1 | 08/02/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ashley McNeely | 6197552 | 1 | 02/26/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marlene Mazur | 854366 | 3 | 01/24/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Chase Andrew Gauthier | 6764929 | 1 | 05/30/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christian Filiaggi | 5148477 | 2 | 06/30/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Edward Fleming | 1284986 | 3 | 05/20/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Edward Fleming | 1284986 | 3 | 05/20/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Edward Fleming | 1284986 | 3 | 05/20/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eric John Henry | 5842896 | 1 | 10/03/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Al Elnasser | 2410541 | 5 | 06/25/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |