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 |
|---|---|---|---|---|---|---|---|---|
| Lynette Louise Pagley | 2130004 | 1 | 02/03/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shawn Devin Smith | 1640168 | 5 | 12/12/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shawn Devin Smith | 1640168 | 5 | 12/12/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Alan Kilburn | 4662122 | 1 | 11/21/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stuart Quinn Hoshide | 1838860 | 15 | 09/17/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael John Bergin | 1393697 | 5 | 09/17/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Pamela Joelle Soult | 4510465 | 1 | 06/24/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stuart Quinn Hoshide | 1838860 | 15 | 05/21/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stuart Quinn Hoshide | 1838860 | 15 | 05/21/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stuart Quinn Hoshide | 1838860 | 15 | 05/21/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |