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 |
|---|---|---|---|---|---|---|---|---|
| Eric Peter Burton | 3113849 | 5 | 03/23/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Leonard Whittingham | 4175525 | 2 | 02/10/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Russell Aiken | 1036253 | 2 | 01/04/2022 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| Ronald Leonard Whittingham | 4175525 | 2 | 10/28/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Peter Burton | 3113849 | 5 | 08/11/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Peter Burton | 3113849 | 5 | 06/22/2021 | Regulatory | 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 |
| Seth David Lampman | 5447712 | 1 | 07/13/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Grieco | 1222747 | 3 | 04/21/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Seth David Timmer | 5246408 | 1 | 12/03/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |