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 |
|---|---|---|---|---|---|---|---|---|
| Patricia Lynn Simms | 2693857 | 1 | 06/27/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| David Joseph Perrotto | 4960240 | 2 | 06/27/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Timothy Richard Farris | 2178521 | 2 | 05/22/2024 | Customer Dispute | Pending | $33,000.00 | $0.00 | See FINRA Report |
| Mary Ann Silvers | 3227407 | 1 | 05/22/2024 | Customer Dispute | Pending | $33,000.00 | $0.00 | See FINRA Report |
| Laura Christine Franklin | 6518573 | 4 | 02/29/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Peter Kyung Hoon Rhee | 2326728 | 4 | 01/16/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Brian Neal Everett | 1250585 | 3 | 01/11/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| John Kenneth Lynde | 2690320 | 2 | 01/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert Stanley Fagan | 1572927 | 3 | 11/29/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Dave Keith Hutchison | 732974 | 2 | 09/28/2023 | Customer Dispute | Pending | $800,000.00 | $0.00 | See FINRA Report |