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 |
|---|---|---|---|---|---|---|---|---|
| Jose Alberto Lopez | 5308923 | 1 | 11/30/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dale E Hohlbaugh | 1259920 | 3 | 06/22/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shonah Yvette Turner | 4291415 | 3 | 04/01/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Joseph Rome | 2015439 | 1 | 08/05/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Roy Payo | 2295275 | 1 | 08/03/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dale E Hohlbaugh | 1259920 | 3 | 01/02/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andrew Louis Kadala | 2358123 | 3 | 12/11/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shonah Yvette Turner | 4291415 | 3 | 07/16/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christen Shontell Blodgett | 5598386 | 3 | 05/20/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shawn Devin Smith | 1640168 | 5 | 02/22/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |